DFX Intelligence

K•••••• G••••• K••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner31 years in industry

K•••••• G••••• K••••••

Advisor at C••••• P••••••• L••

CHICAGO, IL | NEW YORK, NY

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 23, 1999 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: C••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 28, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Dec 8, 2014	n/a	yes	CHICAGO, IL\|NEW YORK, NY	Current employment
B••••••• C•••••• I•••	Former SEC adviser	Mar 11, 2009	Nov 14, 2014	no	CHICAGO, IL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• C•••••• I•••	C••••• P••••••• L••	Nov 14, 2014	Dec 8, 2014	24	Firm change	Other
L••••• B••••••• I•••	B••••••• C•••••• I•••	Oct 15, 2008	Mar 11, 2009

Relationships

Registered with (4)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Dec 8, 2014 to presentfactForm ADV
→ B••••••• C•••••• I•••Registered adviserregistration: previous registration
Mar 11, 2009 to Nov 14, 2014factForm ADV
→ L••••• B••••••• I•••Registered adviserregistration: previous registration
Feb 22, 2006 to Oct 15, 2008factForm ADV
→ G•••••• S•••• W••••• S•••••••• L•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 23, 1999
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.