DFX Intelligence

D•••••• A•• W••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

D•••••• A•• W••••

Advisor at K••••• A••••••• S•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:34475481-afc1-0de5-cb66-dfc356898054

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 14, 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: K••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 12, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Apr 26, 2016	n/a	yes	Suite 550, NJ\|GLEN ROCK, NJ	Current employment
O•••• F•• I•••	Former SEC adviser	Oct 28, 2004	Jan 31, 2006	no	RIDGEWOOD, NJ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• F•• I•••	K••••• A••••••• S•••••••• L••	Jan 31, 2006	Apr 26, 2016	3,738	Firm change after gap	Other
N•••••••• F•••••••• G••••• I•••	O•••• F•• I•••	Nov 15, 2004	Oct 28, 2004

Relationships

Registered with (3)

→ K••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Apr 26, 2016 to presentfactForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Oct 28, 2004 to Jan 31, 2006factForm ADV
→ N•••••••• F•••••••• G••••• I•••Registered adviserregistration: previous registration
Aug 14, 2003 to Nov 15, 2004factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:34475481-afc1-0de5-cb66-dfc356898054
First observed: Aug 14, 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.