DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

K••• D•••••• Y••••

Advisor at S•••••••• A•••••••• L••

NEW YORK, NY

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Search this name across graphsid dfx:ria:316e39ec-d688-5054-1aa7-a8a32612d646

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Dec 5, 2005 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: Dec 2, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom 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	Jun 18, 2026	n/a	yes	NEW YORK, NY	Current employment
M••••• S••••••	Wirehouse	Oct 7, 2016	Jun 23, 2026	no	New York, NY\|Sag Harbor, NY\|Sag Harbor, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	S•••••••• A•••••••• L••	Jun 23, 2026	Jun 18, 2026	-5	Firm change	Wirehouse to ibd
W•••• F•••• A•••••••	M••••• S••••••	Oct 12, 2016	Oct 7, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:149777:NJ:2016-10-04	Oct 12, 2016	Oct 7, 2016	MORRISTOWN, NJ	Firm change

Relationships

Registered with (3)

→ S•••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 18, 2026 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Oct 7, 2016 to Jun 23, 2026factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Dec 5, 2005 to Oct 12, 2016factForm ADV

Dated events

Occurred
Jun 23, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:316e39ec-d688-5054-1aa7-a8a32612d646
First observed: Dec 5, 2005
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.