DFX Intelligence

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

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

D•••• J••••• K•••••

Advisor at M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

MIDDLETOWN, NY

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Search this name across graphsid dfx:ria:5e88c76e-9637-493c-85f6-150b33cef3b5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 28, 2014 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: M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jan 24, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	May 4, 2015	n/a	yes	MIDDLETOWN, NY	Current employment
E••••• J••••	National bd RIA	Apr 28, 2014	Apr 7, 2015	no	POUGHKEEPSIE, NY\|CORTLANDT MANOR, NY\|ST LOUIS, MO

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• J••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Apr 7, 2015	May 4, 2015	27	Firm change	Ibd to wirehouse

Relationships

Registered with (2)

→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: current employment
May 4, 2015 to presentfactForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Apr 28, 2014 to Apr 7, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e88c76e-9637-493c-85f6-150b33cef3b5
First observed: Apr 28, 2014
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.