K••• M•••••

Advisor at S•••••• N••••••• • C••••••• I•••••••••

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:dba7e9a6-6596-9916-74c3-eaa39c92891e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 4, 1999 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•••••• N••••••• • C••••••• I•••••••••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Feb 18, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• N••••••• • C••••••• I•••••••••	National bd RIA	May 16, 2019	n/a	yes	NEW YORK, NY	Current employment
N••••••••• W•••••	Independent wealth	Jul 20, 2017	May 11, 2019	no	NORTH CALDWELL, NJ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••••••• W•••••	S•••••• N••••••• • C••••••• I•••••••••	May 11, 2019	May 16, 2019	5	Firm change	RIA to ibd
C•••••••• G••••• M•••••• I•••	N••••••••• W•••••	Aug 14, 2015	Jul 20, 2017

Relationships

Registered with (5)

→ S•••••• N••••••• • C••••••• I•••••••••Registered adviserregistration: current employment
May 16, 2019 to presentfactForm ADV
→ N••••••••• W•••••Registered adviserregistration: previous registration
Jul 20, 2017 to May 11, 2019factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Jul 14, 2010 to Aug 14, 2015factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dba7e9a6-6596-9916-74c3-eaa39c92891e
First observed: Jun 4, 1999
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.