DFX Intelligence

H•••••• E• H•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

H•••••• E• H•••••

Advisor at K••••• A••••••• S•••••••• L••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6a430775-a72d-306c-b108-4043ab6f49d3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: May 14, 2008 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••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jan 6, 2026	n/a	yes	Utica, NY\|Syracuse, NY\|AUSTIN, TX	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Jan 2, 2025	Dec 8, 2025	no	Camillus, NY\|Utica, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	K••••• A••••••• S•••••••• L••	Dec 8, 2025	Jan 6, 2026	29	Firm change	Ibd to ibd
O•••• W•••••• I•••	C••••••••• F•••••••• N••••••	Jan 9, 2025	Jan 2, 2025

Team moves

••• Locked

Team	Left	Joined	From	Kind
23131:8032:NY:2025-01-09	Jan 9, 2025	Jan 2, 2025	UTICA, NY	Firm change
151451:23131:NY:2021-11-30	Nov 30, 2021	Dec 23, 2015	UTICA, NY	Firm change after gap

Relationships

Registered with (5)

→ K••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jan 6, 2026 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Jan 2, 2025 to Dec 8, 2025factForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Dec 23, 2015 to Jan 9, 2025factForm ADV
→ A••••••• G•••• F•••••••• S•••••••• L••

Dated events

Occurred
Dec 8, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 9, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6a430775-a72d-306c-b108-4043ab6f49d3
First observed: May 14, 2008
Last observed: Sep 15, 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.