DFX Intelligence

E•••••••• C•••••••• N•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

E•••••••• C•••••••• N•••••

Advisor at K•••••••• W••••• A•••••••• L••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Mar 7, 2011 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: K•••••••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 12, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K•••••••• W••••• A•••••••• L••	Bd affiliated wealth	Nov 28, 2022	n/a	yes	West Palm Beach, FL\|SAN DIEGO, CA	Current employment
C••••••• • C••• I•••	Former SEC adviser	Apr 29, 2011	Nov 30, 2022	no	West Palm Beach, FL\|Malden, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••• C•••••• M••••••••• I•••	C••••••• • C••• I•••	Sep 24, 2024	Apr 29, 2011	-4,897	Firm change after gap	Other
C••••••• • C••• I•••	K•••••••• W••••• A•••••••• L••	Nov 30, 2022	Nov 28, 2022

Relationships

Registered with (3)

→ K•••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Nov 28, 2022 to presentfactForm ADV
→ N••••• C•••••• M••••••••• I•••Registered adviserregistration: previous registration
Mar 7, 2011 to Sep 24, 2024factForm ADV
→ C••••••• • C••• I•••Registered adviserregistration: previous registration
Apr 29, 2011 to Nov 30, 2022factForm ADV

Dated events

Order

Occurred
24 Sep 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
30 Nov 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 7, 2011
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.