D••••• K•••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

GARDEN CITY, NY

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:124815e3-8095-4543-0c9b-c4ceb4bd9782

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Mar 18, 2023 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: S•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom 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
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	Sep 8, 2026	n/a	yes	GARDEN CITY, NY	Current employment
F••••• M••••• L••	Mixed wealth	Nov 5, 2024	Sep 8, 2026	no	NEW YORK, NY\|Long Beach, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••• M••••• L••	S•••••• N••••••• • C••••••• I•••••••••	Sep 8, 2026	Sep 8, 2026	0	Firm change	RIA to ibd
J••••• M••••••••• S•••• L••	F••••• M••••• L••	Oct 14, 2024	Nov 5, 2024

Relationships

Registered with (3)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
Sep 8, 2026 to presentfactForm ADV
→ F••••• M••••• L••Registered adviserregistration: previous registration
Nov 5, 2024 to Sep 8, 2026factForm ADV
→ J••••• M••••••••• S•••• L••Registered adviserregistration: previous registration
Mar 18, 2023 to Oct 14, 2024factForm ADV

Dated events

Occurred
Sep 8, 2026
Advisor changed firm
D••••• K••••• left F••••• M••••• L•• for S•••••• N••••••• • C••••••• I••••••••• (registered 2026-09-08)
Form ADVobserved 7 days ago
Occurred
Oct 14, 2024
Advisor changed firm
D••••• K••••• left J••••• M••••••••• S•••• L•• for F••••• M••••• L•• (registered 2024-11-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:124815e3-8095-4543-0c9b-c4ceb4bd9782
First observed: Mar 18, 2023
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.