DFX Intelligence

K•••• P•••••• O•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

K•••• P•••••• O•••••••••

Advisor at D•••••••• A••••••• S•••••••• L••

SOUTH JORDAN, UT | QUINCY, MA

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Search this name across graphsid dfx:ria:cd623e14-27d9-35dc-acea-84540e24c5fa

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Dec 1, 2006 to Sep 15, 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: D•••••••• A••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 8, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
D•••••••• A••••••• S•••••••• L••	Bd affiliated wealth	Sep 3, 2025	n/a	yes	QUINCY, MA\|SOUTH JORDAN, UT	Current employment
C••••••••• F•••••••• N••••••	National bd RIA	Sep 26, 2016	Aug 15, 2025	no	Quincy, MA\|Quincy, MA\|WALTHAM, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••••••• F•••••••• N••••••	D•••••••• A••••••• S•••••••• L••	Aug 15, 2025	Sep 3, 2025	19	Firm change	Ibd to ibd
O•••• F•• I•••	C••••••••• F•••••••• N••••••	Sep 29, 2016	Sep 26, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
8032:326060:MA:2025-08-15	Aug 15, 2025	Sep 3, 2025	WALTHAM, MA	Firm change
3978:8032:MA:2016-09-29	Sep 29, 2016	Sep 26, 2016	WALTHAM, MA	Firm change

Relationships

Registered with (3)

→ D•••••••• A••••••• S•••••••• L••Registered adviserregistration: current employment
Sep 3, 2025 to presentfactForm ADV
→ C••••••••• F•••••••• N••••••Registered adviserregistration: previous registration
Sep 26, 2016 to Aug 15, 2025factForm ADV
→ O•••• F•• I•••Registered adviserregistration: previous registration
Dec 1, 2006 to Sep 29, 2016factForm ADV

Dated events

Occurred
Aug 15, 2025
Advisor changed firm
K•••• P•••••• O••••••••• left C••••••••• F•••••••• N•••••• for D•••••••• A••••••• S•••••••• L•• (registered 2025-09-03)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd623e14-27d9-35dc-acea-84540e24c5fa
First observed: Dec 1, 2006
Last observed: Sep 15, 2026 7 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.