K•••••• L•••

Advisor at W••••• E••••••••• A••••••• S•••••••• L••

PLYMOUTH, MN | GREAT NECK, 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:18f52c82-feab-2f28-c95d-059a69bef39a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Apr 8, 2019 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: W••••• E••••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 27, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••• E••••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jun 1, 2022	n/a	yes	GREAT NECK, NY\|PLYMOUTH, MN	Current employment
K•••• P•••• C•••••• M••••••••• L••	Former SEC adviser	Apr 8, 2019	Jun 3, 2022	no	GREAT NECK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K•••• P•••• C•••••• M••••••••• L••	W••••• E••••••••• A••••••• S•••••••• L••	Jun 3, 2022	Jun 1, 2022	-2	Firm change	RIA to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
137728:116407:NY:2022-06-03	Jun 3, 2022	Jun 1, 2022	GREAT NECK, NY	Firm change

Relationships

Registered with (2)

→ W••••• E••••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 1, 2022 to presentfactForm ADV
→ K•••• P•••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Apr 8, 2019 to Jun 3, 2022factForm ADV

Dated events

Occurred
Jun 3, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:18f52c82-feab-2f28-c95d-059a69bef39a
First observed: Apr 8, 2019
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.