DFX Intelligence

J•••••• S•••• M•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

J•••••• S•••• M•••••

Advisor at K••••• P•••••• W••••• S•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:caa926e2-253a-3049-60a6-01a950e5d4a1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 23, 2001 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••••• P•••••• W••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 13, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K••••• P•••••• W••••• S•••••••• L••	Bd affiliated wealth	Apr 27, 2012	n/a	yes	AUSTIN, TX\|Suite 300, CA	Current employment
W•••• F•••• A•••••••	Wirehouse	Apr 27, 2007	May 1, 2012	no	WOODLAND HILLS, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	K••••• P•••••• W••••• S•••••••• L••	May 1, 2012	Apr 27, 2012	-4	Firm change	Other
C•••••••• G••••• M•••••• I•••	W•••• F•••• A•••••••	May 8, 2007	Apr 27, 2007

Relationships

Registered with (4)

→ K••••• P•••••• W••••• S•••••••• L••Registered adviserregistration: current employment
Apr 27, 2012 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Apr 27, 2007 to May 1, 2012factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jun 20, 2005 to May 8, 2007factForm ADV
→ M••••• S•••••• D• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:caa926e2-253a-3049-60a6-01a950e5d4a1
First observed: Jan 23, 2001
Last observed: Sep 14, 2026 9 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.