DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)10 years in industry

N••••••• K••••••••

Advisor at C••••••••• W••••• A•••••••• L••

Wauwatosa, WI | MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:2f507b3a-b017-a19f-583e-00bbd1cf1a1b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jul 18, 2023 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: C••••••••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Feb 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• W••••• A•••••••• L••	Bd affiliated wealth	Jun 8, 2026	n/a	yes	Wauwatosa, WI\|MINNEAPOLIS, MN\|MINNEAPOLIS, MN	Current employment
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	Jun 8, 2026	no	BROOKFIELD, WI\|OCONOMOWOC, WI\|BROOKFIELD, WI\|BOSTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• A••••••• L••	C••••••••• W••••• A•••••••• L••	Jun 8, 2026	Jun 8, 2026	0	Firm change	Ibd to ibd
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025

Relationships

Registered with (4)

→ C••••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
Jun 8, 2026 to presentfactForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Mar 31, 2025 to Jun 8, 2026factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Nov 18, 2024 to Mar 31, 2025factForm ADV
→ A•••• W••••• M••••••••• L••

Dated events

Occurred
Jun 8, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 18, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2f507b3a-b017-a19f-583e-00bbd1cf1a1b
First observed: Jul 18, 2023
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.