DFX Intelligence

S••• R•••••: 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 / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)15 years in industry

S••• R•••••

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:c8630d2d-caee-ff3d-f386-300b246c0ab7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Apr 16, 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: K••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 8, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Mar 11, 2025	n/a	yes	Newburgh, NY\|SOUTHBURY, CT\|New York, NY	Current employment
N••••••••• M••••• I••••••••• S•••••••••	No RAUM reported	May 4, 2022	Jan 18, 2024	no	Norwalk, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••••• M••••• I••••••••• S•••••••••	K••••• A••••••• S•••••••• L••	Jan 18, 2024	Mar 11, 2025	418	Firm change after gap	Other
M••••• W••••• M••••••••• G••••	N••••••••• M••••• I••••••••• S•••••••••	Mar 29, 2022	May 4, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:149777:NY:2016-05-23	May 26, 2016	Aug 8, 2016	NEW YORK, NY	Firm change

Relationships

Registered with (6)

→ K••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Mar 11, 2025 to presentfactForm ADV
→ N••••••••• M••••• I••••••••• S•••••••••Registered adviserregistration: previous registration
May 4, 2022 to Jan 18, 2024factForm ADV
→ M••••• W••••• M••••••••• G••••Registered adviserregistration: previous registration
May 20, 2021 to Mar 29, 2022factForm ADV
→ M••••• S••••••

Dated events

Occurred
Jan 18, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 29, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c8630d2d-caee-ff3d-f386-300b246c0ab7
First observed: Apr 16, 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.