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

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

R••••••••• K•••••••

Advisor at P••••••• W•••••

SAN JOSE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9ef55974-406f-125f-cdda-b0319349181a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jun 3, 2004 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: P••••••• W•••••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 3, 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

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••• W•••••	Independent wealth	Apr 1, 2024	n/a	yes	SAN JOSE, CA	Current employment
M•••••• A•••••• N••••••	Bd affiliated wealth	Dec 20, 2019	Apr 2, 2024	no	San Jose, CA

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• A•••••• N••••••	P••••••• W•••••	Apr 2, 2024	Apr 1, 2024	-1	Firm change	Ibd to new firm
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	M•••••• A•••••• N••••••	Nov 2, 2005

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
283824:329135:CA:2024-04-02	Apr 2, 2024	Apr 1, 2024	SAN JOSE, CA	Firm change

Relationships

Registered with (3)

→ P••••••• W•••••Registered adviserregistration: current employment
Apr 1, 2024 to presentfactForm ADV
→ M•••••• A•••••• N••••••Registered adviserregistration: previous registration
Dec 20, 2019 to Apr 2, 2024factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jun 3, 2004 to Nov 2, 2005factForm ADV

Dated events

Occurred
Apr 2, 2024
A•••••• firm change
R••••••••• K••••••• left M•••••• A•••••• N•••••• for P••••••• W••••• (registered 2024-04-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ef55974-406f-125f-cdda-b0319349181a
First observed: Jun 3, 2004
Last observed: Sep 14, 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.