DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industrynot currently registered

K•••••• G••••

Advisor at L•• F•••••••• L••

LATHAM, NY

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Search this name across graphsid dfx:ria:7b0d89a5-f3ab-2cf8-f142-a0d82b4dd6c7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Apr 13, 2016 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: L•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Nov 4, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom 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
L•• F•••••••• L••	Bd affiliated wealth	Jun 18, 2026	n/a	yes	LATHAM, NY	Current employment
J••••• M••••••••• S•••• L••	Bd affiliated wealth	Jun 30, 2025	Apr 16, 2026	no	ALBANY, NY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
J••••• M••••••••• S•••• L••	L•• F•••••••• L••	Apr 16, 2026	Jun 18, 2026	63	Firm change	Ibd to ibd
O•••• W•••••• I•••	J••••• M••••••••• S•••• L••	Feb 21, 2025	Jun 30, 2025

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Jun 18, 2026 to presentfactForm ADV
→ J••••• M••••••••• S•••• L••Registered adviserregistration: previous registration
Jun 30, 2025 to Apr 16, 2026factForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Jan 22, 2025 to Feb 21, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Apr 16, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 21, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 21, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Show 1 bookkeeping events

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7b0d89a5-f3ab-2cf8-f142-a0d82b4dd6c7
First observed: Apr 13, 2016
Last observed: Sep 14, 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.