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

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

K•••• S• L•••••

Advisor at T•• P••••• F•••••••• G•••• L••

SAN RAFAEL, 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:a7a5d23c-aa5b-bb3c-e250-cecdb4a3dc48

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

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 16, 2002 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: T•• P••••• F•••••••• G•••• 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: Oct 26, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 8derivedfrom 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
T•• P••••• F•••••••• G•••• L••	Independent wealth	Aug 22, 2018	n/a	yes	SAN RAFAEL, CA	Current employment
P••••••••• F•••••••• S•••••••	n/a	Aug 16, 2018	Jun 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
P••••••••• F•••••••• S•••••••	T•• P••••• F•••••••• G•••• L••	Jun 24, 2019	Aug 22, 2018	-306	Firm change after gap	Other
P••••••• C•••••• A••••••• L••	P••••••••• F•••••••• S•••••••	Oct 3, 2016

Team moves

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

Team	Left	Joined	From	Kind
13980:111639:CA:2019-06-21	Jun 24, 2019	Aug 22, 2018	SAN FRANCISCO, CA	Firm change after gap

Relationships

Registered with (6)

→ T•• P••••• F•••••••• G•••• L••Registered adviserregistration: current employment
Aug 22, 2018 to presentfactForm ADV
→ P••••••••• F•••••••• S•••••••Registered adviserregistration: previous registration
Aug 16, 2018 to Jun 24, 2019factForm ADV
→ P••••••• C•••••• A••••••• L••Registered adviserregistration: previous registration
Oct 28, 2008 to Oct 3, 2016factForm ADV
→ P••••••• C•••••• A•••••••• L••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a7a5d23c-aa5b-bb3c-e250-cecdb4a3dc48
First observed: Aug 16, 2002
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.