DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)33 years in industry

K•••• D••••••• E•••••

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

••• Locked

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Search this name across graphsid dfx:ria:8d25e39f-10d0-7d49-e514-c1f0faf5e2fd

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

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Sep 22, 1997 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: Apr 7, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	May 2, 2016	n/a	yes	MONTCLAIR, NJ\|AUSTIN, TX\|PARAMUS, NJ	Current employment
O•••• F•• I•••	Former SEC adviser	Sep 22, 1997	Jan 31, 2006	no	RIDGEWOOD, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• F•• I•••	K••••• A••••••• S•••••••• L••	Jan 31, 2006	May 2, 2016	3,744	Firm change after gap	Other

Relationships

Registered with (2)

→ K••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
May 2, 2016 to presentfactForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Sep 22, 1997 to Jan 31, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8d25e39f-10d0-7d49-e514-c1f0faf5e2fd
First observed: Sep 22, 1997
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.