DFX Intelligence

K•••• W•••••• P•••••: 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)19 years in industry

K•••• W•••••• P•••••

Advisor at M••••• S••••••

New York, 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:12e23ad3-9fae-18b9-00d8-93b3550a2933

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 9, 2007 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: M••••• S••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Apr 6, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••• S••••••	Wirehouse	Oct 17, 2014	n/a	yes	New York, NY	Current employment
D••••••• • D••••••• L••	Former SEC adviser	Sep 24, 2010	Oct 22, 2014	no	NEW YORK, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
D••••••• • D••••••• L••	M••••• S••••••	Oct 22, 2014	Oct 17, 2014	-5	Firm change	Other
U•• F•••••••• S••••••• I•••	D••••••• • D••••••• L••	Jul 7, 2010	Sep 24, 2010

Relationships

Registered with (3)

→ M••••• S••••••Registered adviserregistration: current employment
Oct 17, 2014 to presentfactForm ADV
→ D••••••• • D••••••• L••Registered adviserregistration: previous registration
Sep 24, 2010 to Oct 22, 2014factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Apr 9, 2007 to Jul 7, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:12e23ad3-9fae-18b9-00d8-93b3550a2933
First observed: Apr 9, 2007
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.