DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

M•••••• J•••••• K•••••

Advisor at N•• E••• W•••••

STAMFORD, CT

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Search this name across graphsid dfx:ria:4c6746c4-110e-4f1a-5c62-daa22ee4fb7d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 20, 2005 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: N•• E••• W•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 9, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N•• E••• W•••••	Bd affiliated wealth	Oct 13, 2023	n/a	yes	STAMFORD, CT	Current employment
J••• M••••• P•••••• W••••• A••••••• L••	Former SEC adviser	Feb 9, 2021	Oct 20, 2023	no	New York, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••• M••••• P•••••• W••••• A••••••• L••	N•• E••• W•••••	Oct 20, 2023	Oct 13, 2023	-7	Firm change	Ibd to ibd
B• R•••• C•••••• M•••••••••	B• R•••• W••••• M•••••••••	Feb 16, 2021	Mar 27, 2019

Relationships

Registered with (5)

→ N•• E••• W•••••Registered adviserregistration: current employment
Oct 13, 2023 to presentfactForm ADV
→ J••• M••••• P•••••• W••••• A••••••• L••Registered adviserregistration: previous registration
Feb 9, 2021 to Oct 20, 2023factForm ADV
→ B• R•••• C•••••• M•••••••••Registered adviserregistration: previous registration
Aug 14, 2013 to Feb 16, 2021factForm ADV
→ B• R•••• W••••• M•••••••••

Dated events

Occurred
Oct 20, 2023
Advisor changed firm
M•••••• J•••••• K••••• left J••• M••••• P•••••• W••••• A••••••• L•• for N•• E••• W••••• (registered 2023-10-13)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4c6746c4-110e-4f1a-5c62-daa22ee4fb7d
First observed: Jul 20, 2005
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.