DFX Intelligence

L•••• H••• S•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

L•••• H••• S•••••

Advisor at W•••••• B•••• • C•••••• L•••••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:ff312a77-7e5a-30a1-5179-2586570ccb1c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 18, 1997 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: W•••••• B•••• • C•••••• L•••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 20, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••••• B•••• • C•••••• L•••••	Bd affiliated wealth	Jan 25, 2017	n/a	yes	CHICAGO, IL\|NEW YORK, NY\|CHICAGO, IL\|BROOKLYN, NY	Current employment
K••••••• F•••••••• A•••••••• L••	Independent wealth	Jan 7, 2010	Jan 30, 2017	no	NEW YORK, NY

Moves

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From	To	Left	Joined	Gap, days	Kind	Move type
K••••••• F•••••••• A•••••••• L••	W•••••• B•••• • C•••••• L•••••	Jan 30, 2017	Jan 25, 2017	-5	Firm change	Other
C••••• A•••• M••••••••• L••	K••••••• F•••••••• A•••••••• L••	Jan 7, 2010	Jan 7, 2010

Team moves

••• Locked

Team	Left	Joined	From	Kind
126021:1252:NY:2017-01-30	Jan 30, 2017	Jan 25, 2017	NEW YORK, NY	Firm change

Relationships

Registered with (4)

→ W•••••• B•••• • C•••••• L•••••Registered adviserregistration: current employment
Jan 25, 2017 to presentfactForm ADV
→ K••••••• F•••••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 7, 2010 to Jan 30, 2017factForm ADV
→ C••••• A•••• M••••••••• L••Registered adviserregistration: previous registration
Jun 7, 2004 to Jan 7, 2010factForm ADV
→ C••••• A•• C••••••• L•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ff312a77-7e5a-30a1-5179-2586570ccb1c
First observed: Sep 18, 1997
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.