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

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RIA / WealthAdvisorChartered Financial Consultant31 years in industry

K•••••• D••• F••••••

Advisor at P•••••• W••••• M••••••••• L••

Rancho Santa Fe, CA | SAN FRANCISCO, 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:a5dac114-b3fc-8852-43b1-9f80529af040

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Dec 15, 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: P•••••• W••••• M••••••••• L••
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: Dec 2, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom 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••••• M••••••••• L••	I•••••••••_WEALTH	Nov 15, 2023	n/a	yes	SAN FRANCISCO, CA\|Rancho Santa Fe, CA	Current employment
F•••• A••••• A••••••• S•••••••• I•••	Former SEC adviser	Apr 18, 2014	May 24, 2019	no

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
W••••• A•••••••• I•••	I••••••••• F•••••••• G••••• L••	Feb 16, 2024	Feb 9, 2009	-5,485	Firm change after gap	Other
F•••• A••••• A••••••• S•••••••• I•••	P•••••• W••••• M••••••••• L••	May 24, 2019

Team moves

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

Team	Left	Joined	From	Kind
130478:7717:CA:2024-02-16	Feb 16, 2024	Feb 9, 2009	RANCHO SANTA FE, CA	Firm change after gap
137888:131037:CA:2019-05-24	May 24, 2019	Nov 15, 2023	RANCHO SANTA FE, CA	Firm change after gap

Relationships

Registered with (6)

→ P•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Nov 15, 2023 to presentfactForm ADV
→ W••••• A•••••••• I•••Registered adviserregistration: previous registration
Jun 8, 2004 to Feb 16, 2024factForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Apr 18, 2014 to May 24, 2019factForm ADV
→ I••••••••• F•••••••• G••••• L••

Dated events

Occurred
Feb 16, 2024
Advisor changed firm
K•••••• D••• F•••••• left W••••• A•••••••• I••• for I••••••••• F•••••••• G••••• L•• (registered 2009-02-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5dac114-b3fc-8852-43b1-9f80529af040
First observed: Dec 15, 1997
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.