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

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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

L••• K• B•••••

Advisor at R••••••••• C•••••• M•••••••••

Rogers, AR | Dallas, TX

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Search this name across graphsid dfx:ria:55c09b6b-5743-ad94-ae89-a0ab58e6113d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 10, 2007 to Sep 14, 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••••••••• C•••••• M•••••••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 4, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom 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
R••••••••• C•••••• M•••••••••	Bd affiliated wealth	Dec 1, 2024	n/a	yes	Dallas, TX\|Rogers, AR	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Oct 24, 2018	Dec 5, 2024	no

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•••••• L••••• P•••••• F••••• • S•••• I•••••••••	R••••••••• C•••••• M•••••••••	Dec 5, 2024	Dec 1, 2024	-4	Firm change	Wirehouse to ibd
M••••• S••••••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	May 17, 2012

Team moves

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

Team	Left	Joined	From	Kind
7691:291361:AR:2024-12-03	Dec 5, 2024	Dec 1, 2024	ROGERS, AR	Firm change

Relationships

Registered with (5)

→ R••••••••• C•••••• M•••••••••Registered adviserregistration: current employment
Dec 1, 2024 to presentfactForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 24, 2018 to Dec 5, 2024factForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to May 17, 2012factForm ADV
→ C•••••••• G••••• M•••••• I•••

Dated events

Occurred
Dec 5, 2024
Advisor changed firm
L••• K• B••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R••••••••• C•••••• M••••••••• (registered 2024-12-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:55c09b6b-5743-ad94-ae89-a0ab58e6113d
First observed: May 10, 2007
Last observed: Sep 14, 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.