DFX Intelligence

N•••• L•• K•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisor40 years in industry

N•••• L•• K•••••

Advisor at W••••••• J•••• W••••• M••••••••• L••

New York, NY

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Search this name across graphsid dfx:ria:ca75eee5-9242-3e80-3b27-77df94f78771

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2014 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: W••••••• J•••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Dec 12, 1985earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W••••••• J•••• W••••• M••••••••• L••	Independent wealth	Sep 5, 2019	n/a	yes	New York, NY	Current employment
W•••••••• J•••• • A••••••••• L••	Former SEC adviser	Mar 12, 2014	Aug 23, 2019	no	NEW YORK, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••••••• J•••• • A••••••••• L••	W••••••• J•••• W••••• M••••••••• L••	Aug 23, 2019	Sep 5, 2019	13	Firm change	RIA to RIA

Team moves

••• Locked

Team	Left	Joined	From	Kind
106861:301925:NY:2019-08-23	Aug 23, 2019	Sep 5, 2019	NEW YORK, NY	Firm change

Relationships

Registered with (2)

→ W••••••• J•••• W••••• M••••••••• L••Registered adviserregistration: current employment
Sep 5, 2019 to presentfactForm ADV
→ W•••••••• J•••• • A••••••••• L••Registered adviserregistration: previous registration
Mar 12, 2014 to Aug 23, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ca75eee5-9242-3e80-3b27-77df94f78771
First observed: Mar 12, 2014
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.