DFX Intelligence

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

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RIA / WealthAdvisorChartered Financial Analyst21 years in industry

K•••• H• K• A•••••

Advisor at C••••• P••••••• L••

NEW YORK, NY | CHICAGO, IL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 12, 2004 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••••• P••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Oct 12, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• P••••••• L••	Independent wealth	Nov 23, 2010	n/a	yes	CHICAGO, IL\|NEW YORK, NY	Current employment
J••• M••••• S••••••••• L••	Wirehouse	Oct 1, 2008	Nov 26, 2010	no	CHICAGO, IL\|Chicago, IL

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• S••••••••• L••	C••••• P••••••• L••	Nov 26, 2010	Nov 23, 2010	-3	Firm change	Other
J••• M••••• S••••••••• I•••	J••• M••••• S••••••••• L••	Oct 1, 2008	Oct 1, 2008

Relationships

Registered with (4)

→ C••••• P••••••• L••Registered adviserregistration: current employment
Nov 23, 2010 to presentfactForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 1, 2008 to Nov 26, 2010factForm ADV
→ J••• M••••• S••••••••• I•••Registered adviserregistration: previous registration
Sep 27, 2006 to Oct 1, 2008factForm ADV
→ B••• O•• S••••••••• C•••••••••Registered adviserregistration: previous registration

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 12, 2004
Last observed: Sep 14, 2026 10 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.