DFX Intelligence

R•••••• K•••• W••••••: 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 / WealthAdvisordual registered (broker-dealer)26 years in industry

R•••••• K•••• W••••••

Advisor at W•••••• F•••••••• G••••• I•••

••• Locked

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:fc0b5b7c-f30f-2346-6f91-7814de14a7c6

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 12, 2007 to Sep 15, 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: W•••••• F•••••••• G••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: May 11, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• F•••••••• G••••• I•••	Independent wealth	Oct 15, 2020	n/a	yes	WESTLAKE VILLAGE, CA\|PHOENIX, AZ\|SCOTTSDALE, AZ	Current employment
P••••••••• P•••••••	Former SEC adviser	Apr 25, 2016	Jun 11, 2021	no	THOUSAND OAKS, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• P•••••••	W•••••• F•••••••• G••••• I•••	Jun 11, 2021	Oct 15, 2020	-239	Firm change after gap	RIA to RIA
W••••••••• A•••••••• I•••	P••••••••• P•••••••	Nov 22, 2016	Apr 25, 2016

Relationships

Registered with (3)

→ W•••••• F•••••••• G••••• I•••Registered adviserregistration: current employment
Oct 15, 2020 to presentfactForm ADV
→ P••••••••• P•••••••Registered adviserregistration: previous registration
Apr 25, 2016 to Jun 11, 2021factForm ADV
→ W••••••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 29, 2010 to Nov 22, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fc0b5b7c-f30f-2346-6f91-7814de14a7c6
First observed: Sep 12, 2007
Last observed: Sep 15, 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.