DFX Intelligence

C••••••••• K••• L•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

C••••••••• K••• L•••••

Advisor at C••••••••• S••••••••• L••

Overland Park, KS | Scottsdale, AZ

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Search this name across graphsid dfx:ria:33c71cc7-34a3-0c2f-0905-6c92198ea453

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 7, 2005 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••••••••• S••••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 8, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• S••••••••• L••	Bd affiliated wealth	Nov 5, 2012	n/a	yes	Scottsdale, AZ\|Overland Park, KS	Current employment
O•••• W•••••• I•••	Bd affiliated wealth	Jul 13, 2009	Dec 14, 2010	no	SCOTTSDALE, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
O•••• W•••••• I•••	C••••••••• S••••••••• L••	Dec 14, 2010	Nov 5, 2012	692	Firm change after gap	Other
S•••••••• F••••••••• I•••	O•••• W•••••• I•••	Jul 9, 2009	Feb 4, 2009

Relationships

Registered with (4)

→ C••••••••• S••••••••• L••Registered adviserregistration: current employment
Nov 5, 2012 to presentfactForm ADV
→ O•••• W•••••• I•••Registered adviserregistration: previous registration
Jul 13, 2009 to Dec 14, 2010factForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Oct 31, 2005 to Jul 9, 2009factForm ADV
→ S••••••••• S••••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:33c71cc7-34a3-0c2f-0905-6c92198ea453
First observed: Apr 7, 2005
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.