DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

K•••• C• A••••••••

Advisor at S•••••••• A••••••• L••

BERKELEY HEIGHTS, NJ

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Search this name across graphsid dfx:ria:db551ae3-95bc-7db4-27f2-ac0d4bf2c0b4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Nov 23, 2011 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: S•••••••• A••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 20, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••••• A••••••• L••	National bd RIA	Mar 31, 2025	n/a	yes	BERKELEY HEIGHTS, NJ	Current employment
F••••••• P••••••• A•• W•••••••• A•••••••	Former SEC adviser	Jul 13, 2022	Mar 31, 2025	no	BERKELEY HEIGHTS, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F••••••• P••••••• A•• W•••••••• A•••••••	S•••••••• A••••••• L••	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	F••••••• P••••••• A•• W•••••••• A•••••••	May 13, 2022	Jul 13, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:288590:NJ:2022-05-09	May 13, 2022	Jul 13, 2022	PENNINGTON, NJ	Firm change

Relationships

Registered with (4)

→ S•••••••• A••••••• L••Registered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 13, 2022 to Mar 31, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Jun 17, 2014 to May 13, 2022factForm ADV
→ F•••••• L••• A•••• M••••••••• L••

Dated events

Occurred
May 13, 2022
Advisor changed firm
K•••• C• A•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-07-13)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:db551ae3-95bc-7db4-27f2-ac0d4bf2c0b4
First observed: Nov 23, 2011
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.