DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

K•••• L••• J•••••••

Advisor at C••••••• P•••••• W•••••

••• Locked

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Search this name across graphsid dfx:ria:86003ae6-6dd8-f077-2cd8-06b840b99e88

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2003 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: C••••••• P•••••• W•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 1, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••• S••••••••• I•••	Bd affiliated wealth	Feb 7, 2025	n/a	yes	SYRACUSE, NY\|WESTWOOD, MA	Current employment
C••••••• P•••••• W•••••	Bd affiliated wealth	Sep 12, 2019	n/a	yes	TARRYTOWN, NY\|Westwood, MA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• S••••••••• I•••	C••••••• P•••••• W•••••	Jan 8, 2020	Sep 12, 2019	-118	Firm change after gap	Ibd to RIA
B••••••• I••••••••• S•••••••• I••• •••••	C••••••• S••••••••• I•••	Dec 31, 2016	Jun 1, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
39550:106743:MA:2020-01-08	Jan 8, 2020	Sep 12, 2019	BOSTON, MA	Firm change after gap

Relationships

Registered with (5)

→ C••••••• S••••••••• I•••Registered adviserregistration: previous registration
Jun 1, 2018 to Jan 8, 2020factForm ADV
→ C••••••• P•••••• W•••••Registered adviserregistration: current employment
Sep 12, 2019 to presentfactForm ADV
→ B••••••• I••••••••• S•••••••• I••• •••••Registered adviserregistration: previous registration
Jul 13, 2012 to Dec 31, 2016factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:86003ae6-6dd8-f077-2cd8-06b840b99e88
First observed: Apr 2, 2003
Last observed: Sep 15, 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.