S•••• E• K••

Advisor at N•• E••• W•••••

STAMFORD, CT

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Search this name across graphsid dfx:ria:08f0e269-f6ef-aaca-2a7c-7048858fcc23

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Oct 9, 2020 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: N•• E••• W•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•• E••• W•••••	Bd affiliated wealth	Jul 20, 2021	n/a	yes	STAMFORD, CT\|STAMFORD, CT	Current employment
L•••	Independent wealth	Oct 9, 2020	May 28, 2021	no	LOS ANGELES, CA\|NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•••	N•• E••• W•••••	May 28, 2021	Jul 20, 2021	53	Firm change	RIA to RIA

Relationships

Registered with (2)

→ N•• E••• W•••••Registered adviserregistration: current employment
Jul 20, 2021 to presentfactForm ADV
→ L•••Registered adviserregistration: previous registration
Oct 9, 2020 to May 28, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:08f0e269-f6ef-aaca-2a7c-7048858fcc23
First observed: Oct 9, 2020
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.