DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

K••••••• L• C••••

Advisor at R•••••• J•••• • A••••••••• I•••

••• Locked

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jun 23, 2003 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: R•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 18, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Aug 18, 2022	n/a	yes	WESTLAKE, OH\|Englewood, FL\|Vermilion, OH	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Dec 18, 2008	Aug 19, 2022	no	NORTH OLMSTED, OH\|WESTLAKE, OH

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R•••••• J•••• • A••••••••• I•••	Aug 19, 2022	Aug 18, 2022	-1	Firm change	Wirehouse to ibd
W•••• F•••• A•••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Dec 11, 2008

Team moves

••• Locked

Team	Left	Joined	From	Kind
7691:705:OH:2022-08-19	Aug 19, 2022	Aug 18, 2022	WESTLAKE, OH	Firm change

Relationships

Registered with (3)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Aug 18, 2022 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Dec 18, 2008 to Aug 19, 2022factForm ADV
→ W•••• F•••• A•••••••Registered adviserregistration: previous registration
Jun 23, 2003 to Dec 11, 2008factForm ADV

Dated events

Order

Occurred
19 Aug 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 23, 2003
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.