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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

K•••• L••• C•••••

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

Diamond Cove, ME | BOCA RATON, FL

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Search this name across graphsid dfx:ria:38b85856-70a6-ca46-a172-0f42a5573bd9

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 13, 1995 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: Sep 4, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Apr 12, 2022	n/a	yes	BOCA RATON, FL\|Diamond Cove, ME	Current employment
M••••• S••••••	Wirehouse	Jan 15, 2013	Apr 13, 2022	no	Boca Raton, FL\|DIAMOND COVE ISLAND, ME\|ATLANTA, GA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	R•••••• J•••• • A••••••••• I•••	Apr 13, 2022	Apr 12, 2022	-1	Firm change	Wirehouse to ibd
U•• F•••••••• S••••••• I•••	M••••• S••••••	Jan 22, 2013	Jan 15, 2013

Relationships

Registered with (4)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Apr 12, 2022 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jan 15, 2013 to Apr 13, 2022factForm ADV
→ U•• F•••••••• S••••••• I•••Registered adviserregistration: previous registration
Feb 18, 2005 to Jan 22, 2013factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Occurred
Apr 13, 2022
Advisor changed firm
K•••• L••• C••••• left M••••• S•••••• for R•••••• J•••• • A••••••••• I••• (registered 2022-04-12)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:38b85856-70a6-ca46-a172-0f42a5573bd9
First observed: Jan 13, 1995
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.