DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

K•••• G•••••• K••••

Advisor at P••• A••••• S••••••••• L••

Ambler, PA | NEW YORK, NY

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 12, 2017 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: P••• A••••• S••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 2014earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••• A••••• S••••••••• L••	Bd affiliated wealth	Dec 7, 2022	n/a	yes	NEW YORK, NY\|Ambler, PA	Current employment
O•••• P•••••••• S••••••••• L••	Former SEC adviser	Jan 10, 2022	Sep 1, 2022	no	OMAHA, NE\|Berwyn, PA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• P•••••••• S••••••••• L••	P••• A••••• S••••••••• L••	Sep 1, 2022	Dec 7, 2022	97	Firm change	RIA to ibd
O•••• P•••••••• S••••••••• L••	O•••• P•••••••• S••••••••• L••	Dec 31, 2021	Jan 10, 2022

Relationships

Registered with (4)

→ P••• A••••• S••••••••• L••Registered adviserregistration: current employment
Dec 7, 2022 to presentfactForm ADV
→ O•••• P•••••••• S••••••••• L••Registered adviserregistration: previous registration
Jan 10, 2022 to Sep 1, 2022factForm ADV
→ O•••• P•••••••• S••••••••• L••Registered adviserregistration: previous registration
Oct 19, 2020 to Dec 31, 2021factForm ADV
→ B•••••• C•••••• I••

Dated events

Occurred
Sep 1, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 12, 2017
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.