DFX Intelligence

T•••• C••••• U••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)32 years in industry

T•••• C••••• U••••

Advisor at K••••• A••••••• S•••••••• L••

MESA, AZ | AUSTIN, TX

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Search this name across graphsid dfx:ria:9e864023-08bc-9672-b04c-4101cfb068af

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jun 30, 1998 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: K••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 19, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Aug 7, 2025	n/a	yes	MESA, AZ\|AUSTIN, TX	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Aug 13, 2014	Aug 7, 2025	no	SAN DIEGO, CA\|Mesa, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	K••••• A••••••• S•••••••• L••	Aug 7, 2025	Aug 7, 2025	0	Firm change	Ibd to ibd
L•• F•••••••• L••	C••••••••• F•••••••• N••••••	Aug 19, 2014	Aug 13, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
8032:283330:AZ:2025-08-07	Aug 7, 2025	Aug 7, 2025	MESA, AZ	Firm change

Relationships

Registered with (3)

→ K••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Aug 7, 2025 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Aug 13, 2014 to Aug 7, 2025factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jun 30, 1998 to Aug 19, 2014factForm ADV

Dated events

Occurred
Aug 7, 2025
Advisor changed firm
T•••• C••••• U•••• left C••••••••• F•••••••• N•••••• for K••••• A••••••• S•••••••• L•• (registered 2025-08-07)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9e864023-08bc-9672-b04c-4101cfb068af
First observed: Jun 30, 1998
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.