DFX Intelligence

B•••• K••••••• N•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

B•••• K••••••• N•••••

Advisor at P••••••

SHELTON, CT

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Feb 21, 2003 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: P••••••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Nov 12, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••••••	Mixed wealth	Dec 10, 2025	n/a	yes	SHELTON, CT	Current employment
W•••• F•••• A•••••••	Wirehouse	Mar 24, 2017	Dec 24, 2025	no	WESTPORT, CT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
W•••• F•••• A•••••••	P••••••	Dec 24, 2025	Dec 10, 2025	-14	Firm change	Wirehouse to RIA
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	W•••• F•••• A•••••••	Mar 27, 2017	Mar 24, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:19616:CT:2017-03-27	Mar 27, 2017	Mar 24, 2017	FAIRFIELD, CT	Firm change

Relationships

Registered with (3)

→ P••••••Registered adviserregistration: current employment
Dec 10, 2025 to presentfactForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Mar 24, 2017 to Dec 24, 2025factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Feb 21, 2003 to Mar 27, 2017factForm ADV

Dated events

Occurred
Dec 24, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 21, 2003
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.