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.

Current firm

LUCAS GROUP FINANCIAL ADVISORS, LLC

Current firm class

independent wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Aug 1, 2014earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

3

Designations

Certified Financial Planner

Exams

S66

First exam

Nov 18, 2014

First registration

Jan 8, 2015

Dual registered

no

Other names

KATHERINE KLEINMAIER|KATHERINE DOWNING|KATHERINE ALICIA KLEINMAIER

IAPD individual key

6356441

• Occurred

  Oct 7, 2025
  Advisor changed firm

  Katherine Alicia Downing left Regal Investment Advisors Llc for Lucas Group Financial Advisors, Llc (registered 2025-08-22)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:30dabbd7-8f06-5525-dee9-25be004d7ea1

First observed

Jan 8, 2015

Last observed

Sep 15, 2026 5 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.