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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)14 years in industry

B••••• K••••••• A•••••••

Advisor at R•• C•••••• M••••••• L••

EDINA, MN | MINNEAPOLIS, MN

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:01ca4d60-97c6-f0e2-ac93-3de236254e7b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Dec 17, 2019 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: R•• C•••••• M••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
R•• C•••••• M••••••• L••	National bd RIA	Sep 22, 2025	n/a	yes	MINNEAPOLIS, MN\|EDINA, MN	Current employment
L••••••• W••••• A•••••••• I•••	Independent wealth	Oct 1, 2024	Sep 15, 2025	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
L••••••• W••••• A•••••••• I•••	R•• C•••••• M••••••• L••	Sep 15, 2025	Sep 22, 2025	7	Firm change	RIA to ibd
A••••••••• W••••• P•••••••	L••••••• W••••• A•••••••• I•••	Oct 17, 2024

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
113074:331847:MN:2024-10-17	Oct 17, 2024	Oct 1, 2024	ARDEN HILLS, MN	Firm change

Relationships

Registered with (3)

→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Dec 17, 2019 to Jan 13, 2023factForm ADV
→ L••••••• W••••• A•••••••• I•••Registered adviserregistration: previous registration
Oct 1, 2024 to Sep 15, 2025factForm ADV
→ A••••••••• W••••• P•••••••Registered adviserregistration: previous registration
Jan 4, 2023 to Oct 17, 2024factForm ADV

Dated events

Occurred
Sep 15, 2025
Advisor changed firm
B••••• K••••••• A••••••• left L••••••• W••••• A•••••••• I••• for R•• C•••••• M••••••• L•• (registered 2025-09-22)
Form ADVobserved 7 days ago
Occurred
Oct 17, 2024
Advisor changed firm
B••••• K••••••• A••••••• left A••••••••• W••••• P••••••• for L••••••• W••••• A•••••••• I••• (registered 2024-10-01)
Form ADVobserved 7 days ago
Occurred
Jan 13, 2023
Advisor changed firm
B••••• K••••••• A••••••• left R•• C•••••• M••••••• L•• for A••••••••• W••••• P••••••• (registered 2023-01-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:01ca4d60-97c6-f0e2-ac93-3de236254e7b
First observed: Dec 17, 2019
Last observed: Sep 14, 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.