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C••••••• A• J•••: advisor on the ria / wealth management graph | DFX Data Factory

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

C••••••• A• J•••

Advisor at C••••••••• F•••••••• N••••••

Frederick, MD | Rockville, MD

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Search this name across graphsid dfx:ria:d49cf638-0fca-b31f-8b3b-b7994d1f0a75

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Oct 27, 2004 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: C••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 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

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Jan 3, 2025	n/a	yes	Frederick, MD\|Rockville, MD	Current employment
K••••• A••••••• S•••••••• L••	Bd affiliated wealth	Jul 6, 2022	Nov 27, 2024	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
K••••• A••••••• S•••••••• L••	C••••••••• F•••••••• N••••••	Nov 27, 2024	Jan 3, 2025	37	Firm change	Ibd to ibd
G•••• P•••• A•••••••• L••	K••••• A••••••• S•••••••• L••	Jul 5, 2022

Relationships

Registered with (4)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Jan 3, 2025 to presentfactForm ADV
→ K••••• A••••••• S•••••••• L••Registered adviserregistration: previous registration
Jul 6, 2022 to Nov 27, 2024factForm ADV
→ G•••• P•••• A•••••••• L••Registered adviserregistration: previous registration
Apr 1, 2021 to Jul 5, 2022factForm ADV
→ H• B•••• I•••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Nov 27, 2024
Advisor changed firm
C••••••• A• J••• left K••••• A••••••• S•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2025-01-03)
Form ADVobserved 7 days ago
Occurred
Jul 5, 2022
Advisor changed firm
C••••••• A• J••• left G•••• P•••• A•••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2022-07-06)
Form ADVobserved 7 days ago

Show 1 bookkeeping events

First seen by DFX
Sep 17, 2026
date not stated
C••••••• A• J••• no longer holds an investment adviser registration (last listed at C••••••••• F•••••••• N•••••• on the 2026-09-16 feed)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d49cf638-0fca-b31f-8b3b-b7994d1f0a75
First observed: Oct 27, 2004
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.