K•• K•••• L•••

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

BOCA RATON, FL

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Search this name across graphsid dfx:ria:0740e066-5dbc-6ec1-cbd8-088ed7fdb651

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 16, 1999 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Mar 16, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 3derivedfrom 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	May 2, 2023	n/a	yes	BOCA RATON, FL	Current employment
S••••• F•••••••• G•••• I••	Former SEC adviser	Apr 29, 2005	May 20, 2021	no	BOCA RATON, FL	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••• F•••••••• G•••• I••	C••••• I••••••••• A••••••• L••	May 20, 2021	May 2, 2023	712	Bulk transfer	Ibd to ibd
W•••• F•••• A•••••••	S••••• F•••••••• G•••• I••	May 2, 2005	Apr 29, 2005

Relationships

Registered with (3)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
May 2, 2023 to presentfactForm ADV
→ S••••• F•••••••• G•••• I••Registered adviserregistration: previous registration
Apr 29, 2005 to May 20, 2021factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jun 16, 1999 to May 2, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0740e066-5dbc-6ec1-cbd8-088ed7fdb651
First observed: Jun 16, 1999
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.