DFX Intelligence

C••••••••• S••• K•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

C••••••••• S••• K•••••

Advisor at P••• I••••••••• L••

NEWARK, NJ | Norwalk, CT

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 13, 2010 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: P••• I••••••••• L••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Jul 9, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••• I••••••••• L••	Asset manager	Sep 16, 2025	n/a	yes	Norwalk, CT\|NEWARK, NJ	Current employment
C••••••• M••••••••• I••••••••• A•••••••• L••	Asset manager	Jul 10, 2017	Sep 5, 2025	no	Fairfield, CT\|BOSTON, MA\|BOSTON, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••• M••••••••• I••••••••• A•••••••• L••	P••• I••••••••• L••	Sep 5, 2025	Sep 16, 2025	11	Firm change	Other
L•••• A••••• • C•• L••	C••••••• M••••••••• I••••••••• A•••••••• L••	Apr 25, 2017	Jul 10, 2017

Relationships

Registered with (5)

→ P••• I••••••••• L••Registered adviserregistration: current employment
Sep 16, 2025 to presentfactForm ADV
→ C••••••• M••••••••• I••••••••• A•••••••• L••Registered adviserregistration: previous registration
Jul 10, 2017 to Sep 5, 2025factForm ADV
→ L•••• A••••• • C•• L••Registered adviserregistration: previous registration
Jul 19, 2012 to Apr 25, 2017factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Order

Occurred
5 Sep 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 13, 2010
Last observed: Sep 14, 2026 10 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.