DFX Intelligence

G••••• C• C•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

G••••• C• C•••••

Advisor at O•••••••••

••• Locked

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Search this name across graphsid dfx:ria:34a90c58-8602-c449-6694-365c443f30f0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Apr 22, 2010 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: O•••••••••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Oct 1, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
O•••••••••	Institutional manager	Sep 14, 2022	n/a	yes	Ossining, NY\|OVERLAND PARK, KS\|Princeton, NJ	Current employment
K• F•••••••• P•••••••• L••	Former SEC adviser	Mar 18, 2020	Dec 31, 2023	no	PRINCETON, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K• F•••••••• P•••••••• L••	O•••••••••	Dec 31, 2023	Sep 14, 2022	-473	Firm change after gap	Other
N••••••••• M••••• I••••••••• S•••••••••	K• F•••••••• P•••••••• L••	Jul 18, 2018	Mar 18, 2020

Team moves

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Team	Left	Joined	From	Kind
119166:106766:NJ:2023-12-31	Dec 31, 2023	Sep 14, 2022	PRINCETON, NJ	Firm change after gap

Relationships

Registered with (7)

→ O•••••••••Registered adviserregistration: current employment
Sep 14, 2022 to presentfactForm ADV
→ K• F•••••••• P•••••••• L••Registered adviserregistration: previous registration
Mar 18, 2020 to Dec 31, 2023factForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
Dec 5, 2016 to Jul 18, 2018factForm ADV
→ M••••• S••••••

Dated events

Occurred
Dec 31, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:34a90c58-8602-c449-6694-365c443f30f0
First observed: Apr 22, 2010
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.