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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)13 years in industry

A••• J••• K•••••

Advisor at C••• L••

Naperville, IL | OMAHA, NE

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:25db36d9-110b-a1b9-468e-eb6de01c434d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Aug 5, 2019 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 publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2013earliest registration or exam on IAPD
Years in industry: 13derivedfrom the industry start date
Years at current firm: 6derivedfrom 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
C••• L••	Bd affiliated wealth	Jul 7, 2020	n/a	yes	OMAHA, NE\|Naperville, IL	Current employment
L•• F•••••••• L••	Bd affiliated wealth	Aug 5, 2019	Jul 13, 2020	no	NAPERVILLE, IL

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•• F•••••••• L••	C••• L••	Jul 13, 2020	Jul 7, 2020	-6	Firm change	Ibd to ibd

Team moves

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

Team	Left	Joined	From	Kind
6413:155344:IL:2020-07-13	Jul 13, 2020	Jul 7, 2020	NAPERVILLE, IL	Firm change

Relationships

Registered with (2)

→ C••• L••Registered adviserregistration: current employment
Jul 7, 2020 to presentfactForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Aug 5, 2019 to Jul 13, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:25db36d9-110b-a1b9-468e-eb6de01c434d
First observed: Aug 5, 2019
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.