DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

D•••• M•••••• M•••••

Advisor at M••••••• • S••••••• W••••• A•••••••• I•••

POUGHKEEPSIE, NY

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Oct 30, 2017 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: M••••••• • S••••••• W••••• A•••••••• I•••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
M••••••• • S••••••• W••••• A•••••••• I•••	Mixed wealth	Jan 20, 2026	n/a	yes	POUGHKEEPSIE, NY	Current employment
K•• I••••••••• S••••••• L••	Bd affiliated wealth	Aug 8, 2025	Sep 30, 2025	no	BROOKLYN, OH\|PAWLING, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
K•• I••••••••• S••••••• L••	M••••••• • S••••••• W••••• A•••••••• I•••	Sep 30, 2025	Jan 20, 2026	112	Firm change	Ibd to RIA
C••••• I••••••••• A••••••• L••	K•• I••••••••• S••••••• L••	Jul 28, 2025	Aug 8, 2025

Relationships

Registered with (5)

→ M••••••• • S••••••• W••••• A•••••••• I•••Registered adviserregistration: current employment
Jan 20, 2026 to presentfactForm ADV
→ K•• I••••••••• S••••••• L••Registered adviserregistration: previous registration
Aug 8, 2025 to Sep 30, 2025factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Apr 15, 2025 to Jul 28, 2025factForm ADV
→ T••••••••• F•••••••• A•••••••• L••

Dated events

Occurred
Sep 30, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 28, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 4, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 21, 2024

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 30, 2017
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.