DFX Intelligence

K•••••••• S•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

K•••••••• S•••••••

Advisor at C•••••••• F••••••••• I•••

SCOTTSDALE, AZ | ANAHEIM, CA

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Search this name across graphsid dfx:ria:9b990ab1-2f79-6db2-1c6c-3e3f9ab21919

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Dec 2, 2019 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C•••••••• F••••••••• I•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••••• F••••••••• I•••	Bd affiliated wealth	Mar 3, 2026	n/a	yes	SCOTTSDALE, AZ\|ANAHEIM, CA	Current employment
C••••• I••••••••• M••••••••• C••••••• L••	Independent wealth	Jun 27, 2024	Mar 13, 2026	no	METAIRIE, LA\|Phoenix, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• M••••••••• C••••••• L••	C•••••••• F••••••••• I•••	Mar 13, 2026	Mar 3, 2026	-10	Firm change	RIA to ibd
L•• F•••••••• L••	C••••• I••••••••• M••••••••• C••••••• L••	Mar 14, 2024	Jun 27, 2024

Relationships

Registered with (5)

→ C•••••••• F••••••••• I•••Registered adviserregistration: current employment
Mar 3, 2026 to presentfactForm ADV
→ C••••• I••••••••• M••••••••• C••••••• L••Registered adviserregistration: previous registration
Jun 27, 2024 to Mar 13, 2026factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Nov 7, 2023 to Mar 14, 2024factForm ADV
→ M••••• S••••••

Dated events

Occurred
Mar 13, 2026
Advisor changed firm
K•••••••• S••••••• left C••••• I••••••••• M••••••••• C••••••• L•• for C•••••••• F••••••••• I••• (registered 2026-03-03)
Form ADVobserved 7 days ago
Occurred
Mar 14, 2024
Advisor changed firm
K•••••••• S••••••• left L•• F•••••••• L•• for C••••• I••••••••• M••••••••• C••••••• L•• (registered 2024-06-27)
Form ADVobserved 7 days ago
Occurred
Feb 3, 2022
Advisor changed firm
K•••••••• S••••••• left M••••• S•••••• for L•• F•••••••• L•• (registered 2023-11-07)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9b990ab1-2f79-6db2-1c6c-3e3f9ab21919
First observed: Dec 2, 2019
Last observed: Sep 15, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.