DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

K•••• M•••••• O•••••••

Advisor at N••• F•••••• I••••••••• S•••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:4e7f0356-5e2c-08f4-f5a7-9557a6d0c5f8

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 3, 2014 to Sep 15, 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••• F•••••• I••••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 20, 2013earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
N••• F•••••• I••••••••• S•••••••• L••	Bd affiliated wealth	Jan 4, 2017	n/a	yes	GROTON, CT\|NEWPORT, RI\|PENSACOLA, FL\|Moodus, CT	Current employment
N••• F•••••• A•••• M••••••••• L••	Former SEC adviser	Aug 31, 2016	Jan 4, 2017	no	Groton, CT\|Newport, RI\|VIENNA, VA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••• F•••••• A•••• M••••••••• L••	N••• F•••••• I••••••••• S•••••••• L••	Jan 4, 2017	Jan 4, 2017	0	Bulk transfer	Other
O•••• I••••••••• I•••	N••• F•••••• A•••• M••••••••• L••	Aug 31, 2016	Aug 31, 2016

Relationships

Registered with (3)

→ N••• F•••••• I••••••••• S•••••••• L••Registered adviserregistration: current employment
Jan 4, 2017 to presentfactForm ADV
→ N••• F•••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Aug 31, 2016 to Jan 4, 2017factForm ADV
→ O•••• I••••••••• I•••Registered adviserregistration: previous registration
Jan 3, 2014 to Aug 31, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4e7f0356-5e2c-08f4-f5a7-9557a6d0c5f8
First observed: Jan 3, 2014
Last observed: Sep 15, 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.