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

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RIA / WealthAdvisorPersonal Financial Specialist25 years in industry

L•••• K•••• T••••••

Advisor at C•• I••••••••• A•••••••

Winterville, NC | LAKELAND, FL | WINTERVILLE, NC

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Search this name across graphsid dfx:ria:4387a3c5-88f4-ce95-8d53-918a0c917080

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 28, 2016 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•• I••••••••• A•••••••
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: Dec 1, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 20derivedfrom 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•• I••••••••• A•••••••	Independent wealth	Nov 17, 2022	n/a	yes	Winterville, NC\|LAKELAND, FL	Current employment
T•••••• S••••• W••••• M••••••••• L••	State registered	Sep 7, 2006	n/a	yes

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
M••••••••• I••••••••• S••••••• L••	C•• I••••••••• A•••••••	Jun 16, 2025	Nov 17, 2022	-942	Firm change after gap	RIA to RIA

Team moves

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

Team	Left	Joined	From	Kind
112525:104914:NC:2025-06-16	Jun 16, 2025	Nov 17, 2022	GOLDSBORO, NC	Firm change after gap

Relationships

Registered with (3)

→ C•• I••••••••• A•••••••Registered adviserregistration: current employment
Nov 17, 2022 to presentfactForm ADV
→ T•••••• S••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Sep 7, 2006 to presentfactForm ADV
→ M••••••••• I••••••••• S••••••• L••Registered adviserregistration: previous registration
Nov 28, 2016 to Jun 16, 2025factForm ADV

Dated events

Occurred
Jun 16, 2025
Advisor changed firm
L•••• K•••• T•••••• left M••••••••• I••••••••• S••••••• L•• for C•• I••••••••• A••••••• (registered 2022-11-17)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4387a3c5-88f4-ce95-8d53-918a0c917080
First observed: Nov 28, 2016
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.