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K•• E••• Q••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)35 years in industry

K•• E••• Q••••••••

Advisor at L•• F•••••••• L••

HAWTHORNE, NY

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Search this name across graphsid dfx:ria:44791d01-9bd5-f014-ab6b-049960a7b60d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 20, 1998 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: L•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 6, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	Feb 9, 2026	n/a	yes	HAWTHORNE, NY	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Oct 11, 2024	Feb 11, 2026	no	SCOTTSDALE, AZ\|WHITE PLAINS, NY

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	L•• F•••••••• L••	Feb 11, 2026	Feb 9, 2026	-2	Firm change	Ibd to ibd
A••••••• P••••••••• A•••••••• I••	O•••• W•••••• I•••	Oct 11, 2024

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Feb 9, 2026 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Oct 11, 2024 to Feb 11, 2026factForm ADV
→ A••••••• P••••••••• A•••••••• I••Registered adviserregistration: previous registration
Oct 11, 2005 to Oct 11, 2024factForm ADV
→ N••••• • L•••• S••••••••• I•••Registered adviser

Dated events

Occurred
Feb 11, 2026
Advisor changed firm
K•• E••• Q•••••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2026-02-09)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:44791d01-9bd5-f014-ab6b-049960a7b60d
First observed: Jan 20, 1998
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.