DFX Intelligence

S•••••• R• W••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

S•••••• R• W••••••••

Advisor at W•••• I••••••••• A•••••••• L••

MADISON, NJ

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Search this name across graphsid dfx:ria:47017d25-b451-60fc-f3d9-176745d7e0bf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Dec 11, 2006 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: W•••• I••••••••• A•••••••• L••
Current firm class: other adviserderived
Book size: not public••• Locked
Industry start: Oct 30, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• I••••••••• A•••••••• L••	Other adviser	Nov 12, 2025	n/a	yes	MADISON, NJ	Current employment
H•••••• T••••••• • K•••• L••	Independent wealth	Dec 11, 2006	Mar 11, 2022	no	MADISON, NJ\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|NEW YORK, NY\|NEW YORK, NY\|PHILADELPHIA, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••• T••••••• • K•••• L••	W•••• I••••••••• A•••••••• L••	Mar 11, 2022	Nov 12, 2025	1,342	Firm change after gap	Other

Relationships

Registered with (2)

→ W•••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Nov 12, 2025 to presentfactForm ADV
→ H•••••• T••••••• • K•••• L••Registered adviserregistration: previous registration
Dec 11, 2006 to Mar 11, 2022factForm ADV

Dated events

Occurred
Mar 11, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:47017d25-b451-60fc-f3d9-176745d7e0bf
First observed: Dec 11, 2006
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.