DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

K•••••• R••••• M••••••

Advisor at N••• C•••••••••

••• Locked

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Search this name across graphsid dfx:ria:2c9c78af-a085-ba78-22c6-5827c6c54d56

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 6, 2019 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: N••• C•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 1, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••• C•••••••••	Bd affiliated wealth	Apr 2, 2019	n/a	yes	BOCA RATON, FL\|MONTVALE, NJ\|WINTER GARDEN, FL	Current employment
S••••••• A•••• M••••••• L•••••	Independent wealth	May 24, 2019	Jul 18, 2019	no	Chestnut Ridge, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••• A•••• M••••••• L•••••	n/a	Jul 18, 2019	n/a	n/a	Departure no registered destination	Departure
H•••• S••••• W••••• A•••••••	N••• C•••••••••	Jul 18, 2019	Apr 2, 2019	-107

Relationships

Registered with (3)

→ N••• C•••••••••Registered adviserregistration: current employment
Apr 2, 2019 to presentfactForm ADV
→ S••••••• A•••• M••••••• L•••••Registered adviserregistration: previous registration
May 24, 2019 to Jul 18, 2019factForm ADV
→ H•••• S••••• W••••• A•••••••Registered adviserregistration: previous registration
Feb 6, 2019 to Jul 18, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2c9c78af-a085-ba78-22c6-5827c6c54d56
First observed: Feb 6, 2019
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.