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

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

L•••• K•• C••••••

Advisor at P•••••• A•••••• G••••• L••

MORRISTOWN, NJ | San Francisco, CA

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Search this name across graphsid dfx:ria:6b23b27d-9560-5af2-8783-8794fbaab348

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 15, 2011 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: P•••••• A•••••• G••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Sep 20, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P•••••• A•••••• G••••• L••	Bd affiliated wealth	Apr 18, 2024	n/a	yes	San Francisco, CA\|MORRISTOWN, NJ	Current employment
C•••• C•••••• S••••••••• L•••	Former SEC adviser	Feb 3, 2017	Apr 16, 2024	no	San Francisco, CA\|FAIR OAKS, CA\|San Francisco, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C•••• C•••••• S••••••••• L•••	P•••••• A•••••• G••••• L••	Apr 16, 2024	Apr 18, 2024	2	Firm change	Ibd to ibd
Q•••• S••••••••• I•••	C•••• C•••••• S••••••••• L•••	Feb 3, 2017	Feb 3, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
6312:155216:CA:2024-04-16	Apr 16, 2024	Apr 18, 2024	SAN FRANCISCO, CA	Firm change
6828:6312:CA:2017-02-03	Feb 3, 2017	Feb 3, 2017	SAN FRANCISCO, CA	Firm change

Relationships

Registered with (3)

→ P•••••• A•••••• G••••• L••Registered adviserregistration: current employment
Apr 18, 2024 to presentfactForm ADV
→ C•••• C•••••• S••••••••• L•••Registered adviserregistration: previous registration
Feb 3, 2017 to Apr 16, 2024factForm ADV
→ Q•••• S••••••••• I•••Registered adviserregistration: previous registration
Nov 15, 2011 to Feb 3, 2017factForm ADV

Dated events

Occurred
Apr 16, 2024
A•••••• firm change
L•••• K•• C•••••• left C•••• C•••••• S••••••••• L••• for P•••••• A•••••• G••••• L•• (registered 2024-04-18)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6b23b27d-9560-5af2-8783-8794fbaab348
First observed: Nov 15, 2011
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.