K••• L• A•••••

Advisor at U••••• S•••••• W••••• M•••••••••

SHORT HILLS, NJ

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:b9e08d7f-57ee-1bed-d82f-afb5b561cf94

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Oct 29, 2008 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: U••••• S•••••• W••••• M•••••••••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Sep 12, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U••••• S•••••• W••••• M•••••••••	State registered	Nov 2, 2023	n/a	yes	SHORT HILLS, NJ	Current employment
F••••• C•••••• A•••••••• L••	Independent wealth	Feb 18, 2022	Jan 3, 2024	no	Astoria, NY\|PRAIRIE VILLAGE, KS\|Short Hills, NJ\|New York, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••• C•••••• A•••••••• L••	U••••• S•••••• W••••• M•••••••••	Jan 3, 2024	Nov 2, 2023	-62	Firm change after gap	RIA to state RIA
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	F••••• C•••••• A•••••••• L••	Feb 22, 2022	Feb 18, 2022

Relationships

Registered with (5)

→ U••••• S•••••• W••••• M•••••••••Registered adviserregistration: current employment
Nov 2, 2023 to presentfactForm ADV
→ F••••• C•••••• A•••••••• L••Registered adviserregistration: previous registration
Feb 18, 2022 to Jan 3, 2024factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jun 1, 2015 to Feb 22, 2022factForm ADV
→ J••• M••••• S••••••••• L••

Dated events

Occurred
Jan 3, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 22, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b9e08d7f-57ee-1bed-d82f-afb5b561cf94
First observed: Oct 29, 2008
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.