DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

K•••••••• K••• S••••••

Advisor at G••••• S•••• W••••• M••••••••• L••

POWELL, WY | LAguna Beach, 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:cec58d09-e730-f9d5-4233-4941958724bd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 29, 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: G••••• S•••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 20, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G••••• S•••• W••••• M••••••••• L••	Independent wealth	Jan 7, 2026	n/a	yes	POWELL, WY\|LAguna Beach, CA	Current employment
M••••• S••••••	Wirehouse	Nov 29, 2010	Mar 31, 2015	no	PURCHASE, NY\|NEWPORT BEACH, CA\|Newport Beach, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	G••••• S•••• W••••• M••••••••• L••	Mar 31, 2015	Jan 7, 2026	3,935	Firm change after gap	Wirehouse to RIA
C•••••••• G••••• M•••••• I•••	M••••• S••••••	Nov 24, 2010	Nov 29, 2010

Relationships

Registered with (3)

→ G••••• S•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Jan 7, 2026 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Nov 29, 2010 to Mar 31, 2015factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
May 29, 2002 to Nov 24, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cec58d09-e730-f9d5-4233-4941958724bd
First observed: May 29, 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.