DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

K•••• D•••••• S•••••••••

Advisor at I••••••••• F•••••••• G••••• L••

TUSCON, AZ

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Search this name across graphsid dfx:ria:c3330140-f3c7-6ab6-5365-1a4dbcdc6cf0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 4, 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: I••••••••• F•••••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
I••••••••• F•••••••• G••••• L••	Bd affiliated wealth	Dec 18, 2008	n/a	yes	TUSCON, AZ	Current employment
W••••••• F•••••••• S•••••••• I•••	Former SEC adviser	Sep 4, 2007	Dec 16, 2008	no	TUCSON, AZ\|TUCSON, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W••••••• F•••••••• S•••••••• I•••	I••••••••• F•••••••• G••••• L••	Dec 16, 2008	Dec 18, 2008	2	Firm change	Other

Relationships

Registered with (2)

→ I••••••••• F•••••••• G••••• L••Registered adviserregistration: current employment
Dec 18, 2008 to presentfactForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Sep 4, 2007 to Dec 16, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c3330140-f3c7-6ab6-5365-1a4dbcdc6cf0
First observed: Sep 4, 2007
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.