DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Analyst34 years in industry

L•••• K•• D•••••

Advisor at F•••• M•••••••• C•• L••

Greenwich, CT | NEW YORK, NY

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Search this name across graphsid dfx:ria:868410aa-5156-8486-947e-a6b330e1f1ba

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jun 4, 2007 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: F•••• M•••••••• C•• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 16, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• M•••••••• C•• L••	Bd affiliated wealth	May 26, 2026	n/a	yes	Greenwich, CT\|NEW YORK, NY	Current employment
B••••••• C•••••• M••••••••• L••	Independent wealth	Nov 4, 2010	Jul 30, 2026	no	DARIEN, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••••• C•••••• M••••••••• L••	F•••• M•••••••• C•• L••	Jul 30, 2026	May 26, 2026	-65	Firm change after gap	RIA to ibd
B••••••• U••• I•••	B••••••• C•••••• M••••••••• L••	Mar 1, 2010	Nov 4, 2010

Relationships

Registered with (3)

→ F•••• M•••••••• C•• L••Registered adviserregistration: current employment
May 26, 2026 to presentfactForm ADV
→ B••••••• C•••••• M••••••••• L••Registered adviserregistration: previous registration
Nov 4, 2010 to Jul 30, 2026factForm ADV
→ B••••••• U••• I•••Registered adviserregistration: previous registration
Jun 4, 2007 to Mar 1, 2010factForm ADV

Dated events

Occurred
Jul 30, 2026
Advisor changed firm
L•••• K•• D••••• left B••••••• C•••••• M••••••••• L•• for F•••• M•••••••• C•• L•• (registered 2026-05-26)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:868410aa-5156-8486-947e-a6b330e1f1ba
First observed: Jun 4, 2007
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.