DFX Intelligence

J••• C•••••• G••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

J••• C•••••• G••••••

Advisor at K•••••••• W••••• A•••••••• L••

SAN DIEGO, CA | Winchester, TN

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Search this name across graphsid dfx:ria:a7042bcf-a008-0058-4737-467aea74065c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Nov 3, 2000 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•••••••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 28, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K•••••••• W••••• A•••••••• L••	Bd affiliated wealth	Aug 15, 2024	n/a	yes	SAN DIEGO, CA\|Winchester, TN	Current employment
E••••••••• P•••••••• L••	Former SEC adviser	Jul 1, 2016	Apr 2, 2025	no	WINCHESTER, TN

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••••••• P•••••••• L••	K•••••••• W••••• A•••••••• L••	Apr 2, 2025	Aug 15, 2024	-230	Firm change after gap	RIA to ibd
H••••• R••••	E••••••••• P•••••••• L••	Aug 5, 2016	Jul 1, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
283884:288792:TN:2025-04-02	Apr 2, 2025	Aug 15, 2024	WINCHESTER, TN	Firm change after gap

Relationships

Registered with (6)

→ K•••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Aug 15, 2024 to presentfactForm ADV
→ E••••••••• P•••••••• L••Registered adviserregistration: previous registration
Jul 1, 2016 to Apr 2, 2025factForm ADV
→ H••••• R••••Registered adviserregistration: previous registration
Nov 10, 2015 to Aug 5, 2016factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••

Dated events

Occurred
Apr 2, 2025
Advisor changed firm
J••• C•••••• G•••••• left E••••••••• P•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2024-08-15)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a7042bcf-a008-0058-4737-467aea74065c
First observed: Nov 3, 2000
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.