DFX Intelligence

M•••••• J••••• S•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

M•••••• J••••• S•••••••

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

AUSTIN, TX | Old Saybrook, CT

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 4, 2002 to Sep 15, 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: Oct 7, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom 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
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jun 15, 2026	n/a	yes	Old Saybrook, CT\|AUSTIN, TX	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	May 27, 2005	Jun 12, 2026	no	Old Saybrook, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	K••••• A••••••• S•••••••• L••	Jun 12, 2026	Jun 15, 2026	3	Firm change	Ibd to ibd
B••• O• A•••••• I••••••••• S•••••••• I•••	C••••••••• F•••••••• N••••••	Jun 21, 2005	May 27, 2005

Team moves

••• Locked

Team	Left	Joined	From	Kind
8032:283330:CT:2026-06-11	Jun 12, 2026	Jun 15, 2026	OLD SAYBROOK, CT	Firm change

Relationships

Registered with (4)

→ K••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 15, 2026 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
May 27, 2005 to Jun 12, 2026factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 20, 2004 to Jun 21, 2005factForm ADV
→ Q•••• • R•••••• I•••Registered adviserregistration: previous registration

Dated events

Order

Occurred
12 Jun 2026
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 4, 2002
Last observed: Sep 15, 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.