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

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RIA / WealthAdvisorPersonal Financial Specialistdual registered (broker-dealer)26 years in industry

J••• W•••••• K•••••••

Advisor at L•• F•••••••• L••

PEARL RIVER, NY

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Search this name across graphsid dfx:ria:556c0781-2604-5b04-9949-937bf43c8ce3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 30, 2004 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: L•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 23, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	May 8, 2020	n/a	yes	PEARL RIVER, NY	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	Jul 15, 2010	May 11, 2020	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F••••••••• I•••	L•• F•••••••• L••	May 11, 2020	May 8, 2020	-3	Firm change	Ibd to ibd
C•••• I••••••••• S••••••• C••••	S•••••••• F••••••••• I•••	May 6, 2010

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
133763:6413:NJ:2020-05-11	May 11, 2020	May 8, 2020	SCOTCH PLAINS, NJ	Firm change

Relationships

Registered with (6)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 8, 2020 to presentfactForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Jul 15, 2010 to May 11, 2020factForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
May 2, 2009 to May 6, 2010factForm ADV
→ W••• I••••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:556c0781-2604-5b04-9949-937bf43c8ce3
First observed: Aug 30, 2004
Last observed: Sep 14, 2026 7 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.