DFX Intelligence

R••••• L••• Y••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

R••••• L••• Y••••••

Advisor at K••••• P•••••• W••••• S•••••••• L••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 9, 2002 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: K••••• P•••••• W••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 1, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K••••• P•••••• W••••• S•••••••• L••	Bd affiliated wealth	Apr 27, 2018	n/a	yes	Mahwah, NJ\|Red Bank, NJ\|AUSTIN, TX\|Barnegat Light, NJ	Current employment
W•••• F•••• A•••••••	Wirehouse	Feb 10, 2006	Apr 27, 2018	no	PARAMUS, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	K••••• P•••••• W••••• S•••••••• L••	Apr 27, 2018	Apr 27, 2018	0	Firm change	Wirehouse to RIA
C•••••••• G••••• M•••••• I•••	W•••• F•••• A•••••••	Feb 27, 2006	Feb 10, 2006

Team moves

••• Locked

Team	Left	Joined	From	Kind
19616:155193:NJ:2018-04-27	Apr 27, 2018	Apr 27, 2018	PARAMUS, NJ	Firm change

Relationships

Registered with (3)

→ K••••• P•••••• W••••• S•••••••• L••Registered adviserregistration: current employment
Apr 27, 2018 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Feb 10, 2006 to Apr 27, 2018factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
May 9, 2002 to Feb 27, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 9, 2002
Last observed: Sep 15, 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.