DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner22 years in industry

K•••• C• S••••••

Advisor at P••••••• W•••••

SAN JOSE, CA

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Search this name across graphsid dfx:ria:efe1adf1-1068-137d-d087-5e82283595fb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 9, 2004 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: P••••••• W•••••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 30, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••• W•••••	Independent wealth	Apr 1, 2024	n/a	yes	SAN JOSE, CA	Current employment
M•••••• A•••••• N••••••	Bd affiliated wealth	Jul 25, 2016	Apr 3, 2024	no	San Jose, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• A•••••• N••••••	P••••••• W•••••	Apr 3, 2024	Apr 1, 2024	-2	Firm change	Ibd to new firm
L•• F•••••••• L••	M•••••• A•••••• N••••••	Dec 23, 2016	Jul 25, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
283824:329135:CA:2024-04-02	Apr 3, 2024	Apr 1, 2024	SAN JOSE, CA	Firm change
6413:283824:CA:2016-12-23	Dec 23, 2016	Jul 25, 2016	SAN JOSE, CA	Firm change after gap

Relationships

Registered with (5)

→ P••••••• W•••••Registered adviserregistration: current employment
Apr 1, 2024 to presentfactForm ADV
→ M•••••• A•••••• N••••••Registered adviserregistration: previous registration
Jul 25, 2016 to Apr 3, 2024factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Jun 18, 2008 to Dec 23, 2016factForm ADV
→ E••••• J••••

Dated events

Occurred
Apr 3, 2024
A•••••• firm change
K•••• C• S•••••• left M•••••• A•••••• N•••••• for P••••••• W••••• (registered 2024-04-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:efe1adf1-1068-137d-d087-5e82283595fb
First observed: Mar 9, 2004
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.