DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

N•••••• A••• K••••••

Advisor at E•••••• A••••••• G••••• L••

GREENWOOD VILLAGE, CO | ARVADA, CO

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Search this name across graphsid dfx:ria:576c0e9c-96d5-41e6-ab90-e8f061b03a6d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 17, 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: E•••••• A••••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
E•••••• A••••••• G••••• L••	Bd affiliated wealth	Jan 12, 2026	n/a	yes	GREENWOOD VILLAGE, CO\|ARVADA, CO	Current employment
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	Dec 17, 2025	no	GREENWOOD VILLAGE, CO\|ARVADA, CO\|BOSTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• A••••••• L••	E•••••• A••••••• G••••• L••	Dec 17, 2025	Jan 12, 2026	26	Firm change	Ibd to ibd
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
104555:112058:MA:2025-12-12	Dec 17, 2025	Jan 12, 2026	BOSTON, MA	Firm change

Relationships

Registered with (3)

→ E•••••• A••••••• G••••• L••Registered adviserregistration: current employment
Jan 12, 2026 to presentfactForm ADV
→ S•••••••• A••••••• L••Registered adviserregistration: previous registration
Mar 31, 2025 to Dec 17, 2025factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
May 17, 2024 to Mar 31, 2025factForm ADV

Dated events

Occurred
Dec 17, 2025
Advisor changed firm
N•••••• A••• K•••••• left S•••••••• A••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2026-01-12)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:576c0e9c-96d5-41e6-ab90-e8f061b03a6d
First observed: May 17, 2024
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.