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

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RIA / WealthAdvisor32 years in industry

K•••• C•••••• M•••••

Advisor at S••••• A•••••••••

SANTA ROSA, 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:b6d0c301-7ec0-27bb-f7a7-b847be57446f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Sep 10, 2007 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: S••••• A•••••••••
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 17, 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

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
S••••• A•••••••••	Independent wealth	Aug 3, 2025	n/a	yes	SANTA ROSA, CA	Current employment
F•••••• A•••••••	Independent wealth	May 17, 2021	Jun 7, 2025	no	Santa Rosa, CA\|S•••••, 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
F•••••• A•••••••	S••••• A•••••••••	Jun 7, 2025	Aug 3, 2025	57	Firm change	RIA to new firm
W•••• F•••• A•••••••	F•••••• A•••••••	May 20, 2021

Team moves

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

Team	Left	Joined	From	Kind
305614:335435:CA:2025-06-07	Jun 7, 2025	Aug 3, 2025	S•••••, CA	Firm change
19616:305614:CA:2021-05-20	May 20, 2021	May 17, 2021	FORT BRAGG, CA	Firm change

Relationships

Registered with (3)

→ S••••• A•••••••••Registered adviserregistration: current employment
Aug 3, 2025 to presentfactForm ADV
→ F•••••• A•••••••Registered adviserregistration: previous registration
May 17, 2021 to Jun 7, 2025factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Sep 10, 2007 to May 20, 2021factForm ADV

Dated events

Occurred
Jun 7, 2025
Advisor changed firm
K•••• C•••••• M••••• left F•••••• A••••••• for S••••• A••••••••• (registered 2025-08-03)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b6d0c301-7ec0-27bb-f7a7-b847be57446f
First observed: Sep 10, 2007
Last observed: Sep 14, 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.