DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

K••• I•• P•••••••

Advisor at U•• F•••••••• S••••••• I•••

••• Locked

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Search this name across graphsid dfx:ria:eabdf278-5ece-f76a-f92b-71fb5989e681

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 4, 2011 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: U•• F•••••••• S••••••• I•••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Oct 7, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
U•• F•••••••• S••••••• I•••	Wirehouse	Jan 12, 2015	n/a	yes	Springfield, MA\|Wellesley , MA\|BOSTON, MA\|Boston, MA\|Rochester, NY	Current employment
L•••••••• W••••• M••••••••• I•••	Former SEC adviser	May 4, 2011	Sep 11, 2012	no	L••••••••, MA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•••••••• W••••• M••••••••• I•••	U•• F•••••••• S••••••• I•••	Sep 11, 2012	Jan 12, 2015	853	Firm change after gap	Other

Relationships

Registered with (2)

→ U•• F•••••••• S••••••• I•••Registered adviserregistration: current employment
Jan 12, 2015 to presentfactForm ADV
→ L•••••••• W••••• M••••••••• I•••Registered adviserregistration: previous registration
May 4, 2011 to Sep 11, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eabdf278-5ece-f76a-f92b-71fb5989e681
First observed: May 4, 2011
Last observed: Sep 15, 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.