DFX Intelligence

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

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RIA / WealthAdvisor20 years in industry

R••• K••• W••••••

Advisor at C••• L••

OMAHA, NE | Billings, MT

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:12b04947-9289-a5d7-f8aa-70e80cabd613

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jul 2, 2007 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••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Aug 5, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Sep 24, 2024	n/a	yes	Billings, MT\|OMAHA, NE	Current employment
T••• N•••• F••••••••	Former SEC adviser	Aug 8, 2020	Jan 28, 2025	no	BILLINGS, MT	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
T••• N•••• F••••••••	C••• L••	Jan 28, 2025	Sep 24, 2024	-126	Firm change after gap	RIA to ibd
A••••••••• F•••••••• S•••••••• L••	T••• N•••• F••••••••	Aug 14, 2020	Aug 8, 2020

Team moves

••• Locked

Team	Left	Joined	From	Kind
309126:155344:MT:2025-01-28	Jan 28, 2025	Sep 24, 2024	BILLINGS, MT	Firm change after gap
6363:309126:MT:2020-08-13	Aug 14, 2020	Aug 8, 2020	BILLINGS, MT	Firm change

Relationships

Registered with (4)

→ C••• L••Registered adviserregistration: current employment
Sep 24, 2024 to presentfactForm ADV
→ T••• N•••• F••••••••Registered adviserregistration: previous registration
Aug 8, 2020 to Jan 28, 2025factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Dec 9, 2015 to Aug 14, 2020factForm ADV
→ C••••••••• F•••••••• N••••••

Dated events

Occurred
Jan 28, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:12b04947-9289-a5d7-f8aa-70e80cabd613
First observed: Jul 2, 2007
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.