DFX Intelligence

A••• L••• G•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

A••• L••• G•••••••

Advisor at K•••••••• W••••• A•••••••• L••

New Britain, PA | SAN DIEGO, CA

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Apr 19, 2024 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: K•••••••• W••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K•••••••• W••••• A•••••••• L••	Bd affiliated wealth	May 30, 2025	n/a	yes	SAN DIEGO, CA\|New Britain, PA	Current employment
C•••••• G•••• • C• I••	Former SEC adviser	Apr 19, 2024	May 30, 2025	no	Little Silver, NJ\|NEW BRITAIN, PA\|SYRACUSE, NY\|Syracuse, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• G•••• • C• I••	K•••••••• W••••• A•••••••• L••	May 30, 2025	May 30, 2025	0	Firm change	Ibd to ibd

Team moves

••• Locked

Team	Left	Joined	From	Kind
10641:288792:NY:2025-05-30	May 30, 2025	May 30, 2025	SYRACUSE, NY	Firm change

Relationships

Registered with (2)

→ K•••••••• W••••• A•••••••• L••Registered adviserregistration: current employment
May 30, 2025 to presentfactForm ADV
→ C•••••• G•••• • C• I••Registered adviserregistration: previous registration
Apr 19, 2024 to May 30, 2025factForm ADV

Dated events

Order

Occurred
30 May 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 19, 2024
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.