DFX Intelligence

C••••••••• M••••••• W••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

C••••••••• M••••••• W••••

Advisor at K•• I••••••••• S••••••• L••

BROOKLYN, OH | Niagara Falls, NY

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Search this name across graphsid dfx:ria:eb686120-f6cd-f9b3-bd28-ef6eec83207a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 20, 2007 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: K•• I••••••••• S••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 28, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
K•• I••••••••• S••••••• L••	Bd affiliated wealth	Mar 26, 2021	n/a	yes	Niagara Falls, NY\|BROOKLYN, OH	Current employment
H••• S••••••••• •••• I•••	Bd affiliated wealth	Sep 30, 2010	Jul 11, 2012	no	LACKAWANNA, NY\|WILLIAMSVILLE, NY\|WILLIAMSVILLE, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••• S••••••••• •••• I•••	K•• I••••••••• S••••••• L••	Jul 11, 2012	Mar 26, 2021	3,180	Firm change after gap	Other
C•••• I••••••••• S••••••• C••••	H••• S••••••••• •••• I•••	Mar 8, 2010	Sep 30, 2010

Relationships

Registered with (3)

→ K•• I••••••••• S••••••• L••Registered adviserregistration: current employment
Mar 26, 2021 to presentfactForm ADV
→ H••• S••••••••• •••• I•••Registered adviserregistration: previous registration
Sep 30, 2010 to Jul 11, 2012factForm ADV
→ C•••• I••••••••• S••••••• C••••Registered adviserregistration: previous registration
Aug 20, 2007 to Mar 8, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eb686120-f6cd-f9b3-bd28-ef6eec83207a
First observed: Aug 20, 2007
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.