DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

K•••• J••••• F••

Advisor at C••••• I••••••••• A••••••• L••

NEW YORK, NY | SHORT HILLS, NJ

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Search this name across graphsid dfx:ria:f7a7b5ae-6031-1d15-33ee-66b949868f1f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 8, 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 22, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom 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
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Nov 12, 2020	n/a	yes	SHORT HILLS, NJ\|NEW YORK, NY	Current employment
F•••• A••••• A••••••• S•••••••• I•••	Former SEC adviser	Jul 2, 2012	Nov 12, 2020	no	CHESTERFIELD, MO\|FLORHAM PARK, NJ\|New York, NY\|SUITE 1735, NY\|Short Hills, NJ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• A••••• A••••••• S•••••••• I•••	C••••• I••••••••• A••••••• L••	Nov 12, 2020	Nov 12, 2020	0	Bulk transfer	Ibd to ibd
F•••• A••••• S••••••••• I•••	F•••• A••••• A••••••• S•••••••• I•••	Jul 2, 2012	Jul 2, 2012

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Nov 12, 2020 to presentfactForm ADV
→ F•••• A••••• A••••••• S•••••••• I•••Registered adviserregistration: previous registration
Jul 2, 2012 to Nov 12, 2020factForm ADV
→ F•••• A••••• S••••••••• I•••Registered adviserregistration: previous registration
Dec 8, 2011 to Jul 2, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f7a7b5ae-6031-1d15-33ee-66b949868f1f
First observed: Dec 8, 2011
Last observed: Sep 15, 2026 7 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.