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RIA / WealthAdvisor31 years in industry

Keith Alan Piken

Advisor at CAPITAL CLIENT GROUP, INC.

LOS ANGELES, CA | La Canada, CA

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Search this name across graphsid dfx:ria:6e01bdc8-9919-3060-7a81-d249c771df4e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 20, 2014 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: CAPITAL CLIENT GROUP, INC.
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 6, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Feb 6, 1995
First registration: Feb 20, 2014
Dual registered: no
Other names: KEITH ALAN PIKEN|KEITH A PIKEN
IAPD individual key: 2576730

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
CAPITAL CLIENT GROUP, INC.	No RAUM reported	Jan 2, 2025	n/a	yes	LOS ANGELES, CA\|La Canada, CA	Current employment
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.	Independent wealth	Jul 1, 2021	Dec 17, 2024	no	LOS ANGELES, CA	Previous registration
CAPITAL BANK AND TRUST COMPANY	Asset manager	Jan 29, 2021	Jul 1, 2021	no	Los Angeles, CA	Previous registration
CAPITAL CLIENT GROUP, INC.	No RAUM reported	Feb 20, 2014	Jan 4, 2021	no	LOS ANGELES, CA	Previous registration

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
CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.	CAPITAL CLIENT GROUP, INC.	Dec 17, 2024	Jan 2, 2025	16	Firm change	Other
CAPITAL BANK AND TRUST COMPANY	CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.	Jul 1, 2021	Jul 1, 2021	0	Bulk transfer	RIA to new firm
CAPITAL CLIENT GROUP, INC.	CAPITAL BANK AND TRUST COMPANY	Jan 4, 2021	Jan 29, 2021	25	Channel change	Other

Relationships

Registered with (3)

→ CAPITAL CLIENT GROUP, INC.Registered adviserregistration: previous registration
Feb 20, 2014 to Jan 4, 2021factForm ADV
→ CAPITAL GROUP PRIVATE CLIENT SERVICES, INC.Registered adviserregistration: previous registration
Jul 1, 2021 to Dec 17, 2024factForm ADV
→ CAPITAL BANK AND TRUST COMPANYRegistered adviserregistration: previous registration
Jan 29, 2021 to Jul 1, 2021factForm ADV

Dated events

Occurred
Dec 17, 2024
Advisor changed firm
Keith Alan Piken left Capital Group Private Client Services, Inc. for Capital Client Group, Inc. (registered 2025-01-02)
Form ADVobserved 4 days ago