DFX Intelligence

D••••• J••• K••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)28 years in industry

D••••• J••• K••••••

Advisor at M•• I•••••••• S•••••••• L••

SPRINGFIELD, MA | EAST HAMPTON, CT

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Sep 17, 2008 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: M•• I•••••••• S•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: May 7, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom 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
M•• I•••••••• S•••••••• L••	Bd affiliated wealth	Jan 23, 2025	n/a	yes	EAST HAMPTON, CT\|SPRINGFIELD, MA	Current employment
C••• L••	Bd affiliated wealth	May 9, 2022	Nov 20, 2024	no	OMAHA, NE\|Farmington, CT

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• L••	M•• I•••••••• S•••••••• L••	Nov 20, 2024	Jan 23, 2025	64	Firm change	Ibd to ibd
K•••• C•••••• • A••••••••• I•••	C••• L••	May 12, 2022	May 9, 2022

Team moves

••• Locked

Team	Left	Joined	From	Kind
115582:155344:CT:2022-05-12	May 12, 2022	May 9, 2022	FARMINGTON, CT	Firm change

Relationships

Registered with (5)

→ M•• I•••••••• S•••••••• L••Registered adviserregistration: current employment
Jan 23, 2025 to presentfactForm ADV
→ C••• L••Registered adviserregistration: previous registration
May 9, 2022 to Nov 20, 2024factForm ADV
→ K•••• C•••••• • A••••••••• I•••Registered adviserregistration: previous registration
Nov 14, 2017 to May 12, 2022factForm ADV
→ V••• F•••••••• P•••••••• L••

Dated events

Order

Occurred
20 Nov 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
12 May 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 17, 2008
Last observed: Sep 14, 2026 10 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.