DFX Intelligence

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

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RIA / WealthAdvisor31 years in industry

D•••••• D••••• K•••••••

Advisor at W••••••••• A••••••• P••••••• L••

WEST CHESTER, PA | DUBUQUE, IA

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Search this name across graphsid dfx:ria:6aea404c-e7e4-1e72-5304-f5c8f56cec70

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Mar 6, 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: W••••••••• A••••••• P••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 3, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••••• A••••••• P••••••• L••	Bd affiliated wealth	Apr 14, 2023	n/a	yes	DUBUQUE, IA\|WEST CHESTER, PA	Current employment
H•••••• • J•••• F•••••••• S•••••••• I•••	Former SEC adviser	Oct 16, 2006	Apr 17, 2023	no	DUBUQUE, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H•••••• • J•••• F•••••••• S•••••••• I•••	W••••••••• A••••••• P••••••• L••	Apr 17, 2023	Apr 14, 2023	-3	Firm change	RIA to RIA
W••••••• F•••••••• S•••••••• I•••	H•••••• • J•••• F•••••••• S•••••••• I•••	Sep 14, 2006	Oct 16, 2006

Relationships

Registered with (3)

→ W••••••••• A••••••• P••••••• L••Registered adviserregistration: current employment
Apr 14, 2023 to presentfactForm ADV
→ H•••••• • J•••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Oct 16, 2006 to Apr 17, 2023factForm ADV
→ W••••••• F•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Mar 6, 2002 to Sep 14, 2006factForm ADV

Dated events

Occurred
Apr 17, 2023
Advisor changed firm
D•••••• D••••• K••••••• left H•••••• • J•••• F•••••••• S•••••••• I••• for W••••••••• A••••••• P••••••• L•• (registered 2023-04-14)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6aea404c-e7e4-1e72-5304-f5c8f56cec70
First observed: Mar 6, 2002
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.