DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

K•••• J• W•••••••••

Advisor at S•••••••• A•••••••• L••

NEW YORK, NY

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Search this name across graphsid dfx:ria:2afbc600-1a03-9e94-f88f-e7c9ee8647ba

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 27, 2003 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•••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 18, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom 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
S•••••••• A•••••••• L••	Bd affiliated wealth	Dec 5, 2022	n/a	yes	NEW YORK, NY	Current employment
G••• G••••••• P••••••• S•••••••	Former SEC adviser	Apr 6, 2017	Dec 31, 2022	no	LOCUST VALLEY, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
G••• G••••••• P••••••• S•••••••	S•••••••• A•••••••• L••	Dec 31, 2022	Dec 5, 2022	-26	Firm change	RIA to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	G••• G••••••• P••••••• S•••••••	Apr 4, 2017	Apr 6, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:173565:NY:2017-04-04	Apr 4, 2017	Apr 6, 2017	NEW YORK, NY	Firm change

Relationships

Registered with (3)

→ S•••••••• A•••••••• L••Registered adviserregistration: current employment
Dec 5, 2022 to presentfactForm ADV
→ G••• G••••••• P••••••• S•••••••Registered adviserregistration: previous registration
Apr 6, 2017 to Dec 31, 2022factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
May 27, 2003 to Apr 4, 2017factForm ADV

Dated events

Occurred
Dec 31, 2022
Advisor changed firm
K•••• J• W••••••••• left G••• G••••••• P••••••• S••••••• for S•••••••• A•••••••• L•• (registered 2022-12-05)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2afbc600-1a03-9e94-f88f-e7c9ee8647ba
First observed: May 27, 2003
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.