DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

R••••• K•••• M••••••

Advisor at S•••••• A•••• M••••••••• L••

CHATHAM, NJ

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Search this name across graphsid dfx:ria:9ef1138f-e9a9-7564-4d82-ecea3df197d8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jan 28, 2013 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: S•••••• A•••• M••••••••• L••
Current firm class: other adviserderived
Book size: not public••• Locked
Industry start: Oct 20, 1988earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• A•••• M••••••••• L••	Other adviser	Jan 29, 2015	n/a	yes	CHATHAM, NJ	Current employment
S•••••• A•••• M••••••••• L••	Other adviser	Jan 28, 2013	Jun 21, 2013	no	CHATHAM, NJ	Previous registration

Relationships

Registered with (1)

→ S•••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Jan 28, 2013 to Jun 21, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ef1138f-e9a9-7564-4d82-ecea3df197d8
First observed: Jan 28, 2013
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.