DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

P••••• G•••••••••

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

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b8283f66-8774-c549-8ec2-cbe948c33296

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 14, 2007 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: Jan 9, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
G•••• P•••••• W•••••	Mixed wealth	May 16, 2022	n/a	yes	SHELTON, CT	Current employment
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jun 7, 2021	n/a	yes	Port Jefferson, NY\|AUSTIN, TX	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U•• F•••••••• S••••••• I•••	K••••• A••••••• S•••••••• L••	Mar 24, 2020	Jun 7, 2021	440	Firm change after gap	Wirehouse to ibd
W•••• F•••• A•••••••	U•• F•••••••• S••••••• I•••	Apr 11, 2011	Apr 8, 2011

Relationships

Registered with (4)

→ G•••• P•••••• W•••••Registered adviserregistration: current employment
May 16, 2022 to presentfactForm ADV
→ K••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 7, 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:b8283f66-8774-c549-8ec2-cbe948c33296
First observed: Aug 14, 2007
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.