DFX Intelligence

K•••• J••••• L••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner29 years in industry

K•••• J••••• L••••

Advisor at E•••• F•••••••• S•••••••• I•••

E••••, CT | Madison, CT

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Search this name across graphsid dfx:ria:3be15d4b-9a3b-48a1-1da4-8806b80d7258

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 12, 2002 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: E•••• F•••••••• S•••••••• I•••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 27, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••• F•••••••• S•••••••• I•••	Independent wealth	Jan 24, 2022	n/a	yes	E••••, CT\|Madison, CT	Current employment
B• R•••• W••••• A•••••••• I•••	Bd affiliated wealth	Jan 3, 2020	Jan 26, 2022	no	WESTPORT, CT\|MADISON, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B• R•••• W••••• A•••••••• I•••	E•••• F•••••••• S•••••••• I•••	Jan 26, 2022	Jan 24, 2022	-2	Firm change	Ibd to RIA
P•••••••• W•••••	B• R•••• W••••• A•••••••• I•••	Jan 17, 2020	Jan 3, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
127549:290180:CT:2017-10-30	Oct 30, 2017	Oct 31, 2017	E••••, CT	Firm change

Relationships

Registered with (4)

→ E•••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
May 4, 2016 to Oct 30, 2017factForm ADV
→ B• R•••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Jan 3, 2020 to Jan 26, 2022factForm ADV
→ P•••••••• W•••••Registered adviserregistration: previous registration
Oct 31, 2017 to Jan 17, 2020factForm ADV
→ S•••••••• A••••••• L••

Dated events

Occurred
Jan 26, 2022
Advisor changed firm
K•••• J••••• L•••• left B• R•••• W••••• A•••••••• I••• for E•••• F•••••••• S•••••••• I••• (registered 2022-01-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3be15d4b-9a3b-48a1-1da4-8806b80d7258
First observed: Jun 12, 2002
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.