DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner13 years in industry

A•••••••• K••••• F•••••

Advisor at 4• N•••• C••••••• L••

BURLINGTON, VT | PALM BEACH GARDENS, FL

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Search this name across graphsid dfx:ria:4a92e5fb-1bad-6121-1185-28c8334473a8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 20, 2016 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: 4• N•••• C••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Nov 1, 2012earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
4• N•••• C••••••• L••	Independent wealth	Jan 1, 2025	n/a	yes	PALM BEACH GARDENS, FL\|BURLINGTON, VT	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Apr 7, 2020	Sep 12, 2023	no	NEW YORK, NY\|BURLINGTON, VT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	4• N•••• C••••••• L••	Sep 12, 2023	Jan 1, 2025	477	Firm change after gap	Wirehouse to RIA
K••••• A••••••• S•••••••• L••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Nov 28, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:327552:VT:2023-09-09	Sep 12, 2023	Jan 1, 2025	BURLINGTON, VT	Firm change after gap

Relationships

Registered with (4)

→ 4• N•••• C••••••• L••Registered adviserregistration: current employment
Jan 1, 2025 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Apr 7, 2020 to Sep 12, 2023factForm ADV
→ K••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
May 20, 2016 to Nov 28, 2018factForm ADV
→ N•• A•••••• S•••••••• L••

Dated events

Occurred
Sep 12, 2023
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a92e5fb-1bad-6121-1185-28c8334473a8
First observed: May 20, 2016
Last observed: Sep 14, 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.