DFX Intelligence

D•••• J••••• M••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)18 years in industry

D•••• J••••• M••••••

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

SHELTON, CT | PORT JEFFERSON, NY

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Search this name across graphsid dfx:ria:cc21aca0-b634-926f-73ce-58122e227349

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 8, 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: K••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 25, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom 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
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jun 7, 2021	n/a	yes	PORT JEFFERSON, NY	Current employment
G•••• P•••••• W•••••	Mixed wealth	Apr 8, 2021	n/a	yes	SHELTON, CT	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••••• S••••• • C••• I•••	G•••• P•••••• W•••••	Feb 10, 2014	Apr 8, 2021	2,614	Firm change after gap	Ibd to RIA
W•••• F•••• A•••••••	C•••••• S••••• • C••• I•••	Jun 11, 2010	Oct 14, 2010

Relationships

Registered with (4)

→ K••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Jun 7, 2021 to presentfactForm ADV
→ G•••• P•••••• W•••••Registered adviserregistration: current employment
Apr 8, 2021 to presentfactForm ADV
→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Oct 14, 2010 to Feb 10, 2014factForm ADV
→ W•••• F•••• A•••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc21aca0-b634-926f-73ce-58122e227349
First observed: Jul 8, 2008
Last observed: Sep 14, 2026 8 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.