DFX Intelligence

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

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RIA / WealthAdvisor35 years in industry

B•••• D••••••• K••••••

Advisor at A••••••• F••••••••• L•••

SACRAMENTO, CA

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Search this name across graphsid dfx:ria:f31a8e7d-b765-4784-567d-f402fa0c40f5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 7, 1998 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: A••••••• F••••••••• L•••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 6, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• F••••••••• L•••	Bd affiliated wealth	Jan 7, 2020	n/a	yes	SACRAMENTO, CA	Current employment
R••	Former SEC adviser	Jun 27, 2001	Jan 7, 2020	no	WOODSTOCK, IL\|ADDISON, TX\|Woodstock, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R••	A••••••• F••••••••• L•••	Jan 7, 2020	Jan 7, 2020	0	Bulk transfer	RIA to RIA
D••••••• I•••••••••	R••	Dec 10, 2019	Jun 27, 2001

Relationships

Registered with (3)

→ A••••••• F••••••••• L•••Registered adviserregistration: current employment
Jan 7, 2020 to presentfactForm ADV
→ R••Registered adviserregistration: previous registration
Jun 27, 2001 to Jan 7, 2020factForm ADV
→ D••••••• I•••••••••Registered adviserregistration: previous registration
Feb 7, 1998 to Dec 10, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f31a8e7d-b765-4784-567d-f402fa0c40f5
First observed: Feb 7, 1998
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.