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S••• M•••••• R••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

S••• M•••••• R••••••

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

Port Jefferson, NY | AUSTIN, TX | Chevy Chase, MD | SHELTON, CT

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Search this name across graphsid dfx:ria:8ee3d065-b556-e9d5-61bf-1526f4950c96

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 20, 1999 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 26, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jun 7, 2021	n/a	yes	Port Jefferson, NY\|Port Jefferson, NY\|AUSTIN, TX\|Chevy Chase, MD	Current employment
G•••• P•••••• W•••••	Mixed wealth	Apr 6, 2021	n/a	yes

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	G•••• P•••••• W•••••	Mar 24, 2020	Apr 6, 2021	378	Firm change	Wirehouse to RIA
W•••• F•••• A•••••••	U•• F•••••••• S••••••• I•••	Apr 11, 2011

Relationships

Registered with (5)

→ K••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 7, 2021 to presentfactForm ADV
→ G•••• P•••••• W•••••Registered adviserregistration: current employment
Apr 6, 2021 to presentfactForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Apr 8, 2011 to Mar 24, 2020factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8ee3d065-b556-e9d5-61bf-1526f4950c96
First observed: Apr 20, 1999
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.