DFX Intelligence

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

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

K•••• P•••••• L••••

Advisor at T••••••••• R••••••••• A•••••••• L••

Point Pleasant, NJ

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Search this name across graphsid dfx:ria:9405c8c5-4f9a-fadf-76af-b7f94195e6f8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 14, 2003 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: T••••••••• R••••••••• A•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Apr 14, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••••••• R••••••••• A•••••••• L••	Bd affiliated wealth	Jun 29, 2022	n/a	yes	Point Pleasant, NJ	Current employment
N••••••••• I••••••••• A•••••••• L••	Bd affiliated wealth	Dec 24, 2018	Jun 15, 2022	no	COLUMBUS, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••••• I••••••••• A•••••••• L••	T••••••••• R••••••••• A•••••••• L••	Jun 15, 2022	Jun 29, 2022	14	Firm change	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	N••••••••• I••••••••• A•••••••• L••	Jul 15, 2008

Team moves

••• Locked

Team	Left	Joined	From	Kind
142373:107319:OH:2022-06-15	Jun 15, 2022	Jun 29, 2022	COLUMBUS, OH	Firm change

Relationships

Registered with (4)

→ T••••••••• R••••••••• A•••••••• L••Registered adviserregistration: current employment
Jun 29, 2022 to presentfactForm ADV
→ N••••••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Dec 24, 2018 to Jun 15, 2022factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Sep 27, 2006 to Jul 15, 2008factForm ADV
→ M•••••• L•••• I••••••••• M••••••• L•

Dated events

Occurred
Jun 15, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9405c8c5-4f9a-fadf-76af-b7f94195e6f8
First observed: Apr 14, 2003
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.