DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

K••••••• X••• P•••

Advisor at S••••••••• I•••••••••

WEST COVINA, CA | NEW YORK, NY

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Search this name across graphsid dfx:ria:9bb525d4-2506-2d95-81d9-4f598f8222ab

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 16, 2012 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: S••••••••• I•••••••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S••••••••• I•••••••••	Independent wealth	Nov 3, 2023	n/a	yes	NEW YORK, NY\|WEST COVINA, CA	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Nov 29, 2017	Dec 1, 2023	no	WEST COVINA, CA\|WEST COVINA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• L••	S••••••••• I•••••••••	Dec 1, 2023	Nov 3, 2023	-28	Firm change	Ibd to new firm
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	L•• F•••••••• L••	Nov 29, 2017	Nov 29, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
29604:6413:CA:2017-11-29	Nov 29, 2017	Nov 29, 2017	WEST COVINA, CA	Firm change

Relationships

Registered with (3)

→ S••••••••• I•••••••••Registered adviserregistration: current employment
Nov 3, 2023 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Nov 29, 2017 to Dec 1, 2023factForm ADV
→ N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Registered adviserregistration: previous registration
Nov 16, 2012 to Nov 29, 2017factForm ADV

Dated events

Occurred
Dec 1, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9bb525d4-2506-2d95-81d9-4f598f8222ab
First observed: Nov 16, 2012
Last observed: Sep 15, 2026 8 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.