DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

M••••• N••••• S•••••

Advisor at K••••• P•••••• W••••• S•••••••• L••

AUSTIN, TX | Calabasas, CA

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Search this name across graphsid dfx:ria:9ca4672d-080c-e9d4-f5ac-6e3a7cc4ad41

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jul 8, 1997 to Sep 14, 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: K••••• P•••••• W••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 7, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K••••• P•••••• W••••• S•••••••• L••	Bd affiliated wealth	Mar 4, 2014	n/a	yes	AUSTIN, TX\|Calabasas, CA	Current employment
U•• F•••••••• S••••••• I•••	Wirehouse	Jul 8, 1997	Mar 12, 2014	no	Sherman Oaks, CA\|ENCINO, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	K••••• P•••••• W••••• S•••••••• L••	Mar 12, 2014	Mar 4, 2014	-8	Firm change	Other

Relationships

Registered with (2)

→ K••••• P•••••• W••••• S•••••••• L••Registered adviserregistration: current employment
Mar 4, 2014 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Jul 8, 1997 to Mar 12, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ca4672d-080c-e9d4-f5ac-6e3a7cc4ad41
First observed: Jul 8, 1997
Last observed: Sep 14, 2026 9 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.