K••• L••••••

Advisor at R••••••••• C••••••••• G••••

DUBUQUE, IA | Dubuque, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7c4eea1b-6687-8c55-db51-8c04c38c5f44

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 11, 2014 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••••••••• G••••
Current firm class: mixed wealth managerderived
Book size: not public••• Locked
Industry start: Dec 1, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom 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
L•• F•••••••• L••	Bd affiliated wealth	Apr 16, 2025	n/a	yes	DUBUQUE, IA\|DUBUQUE, IA\|DUBUQUE, IA	Current employment
R••••••••• C••••••••• G••••	Mixed wealth	Aug 31, 2022	n/a	yes	Dubuque, IA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E•••••• A••••••• G••••• L••	R••••••••• C••••••••• G••••	Aug 25, 2022	Aug 31, 2022	6	Firm change	Other
A•••••• P••••••• P•••••••• I•••	E•••••• A••••••• G••••• L••	Sep 21, 2021	Apr 12, 2022

Relationships

Registered with (5)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Apr 16, 2025 to presentfactForm ADV
→ R••••••••• C••••••••• G••••Registered adviserregistration: current employment
Aug 31, 2022 to presentfactForm ADV
→ E•••••• A••••••• G••••• L••Registered adviserregistration: previous registration
Apr 12, 2022 to Aug 25, 2022factForm ADV
→ A•••••• P••••••• P•••••••• I•••

Dated events

Occurred
Aug 25, 2022
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7c4eea1b-6687-8c55-db51-8c04c38c5f44
First observed: Feb 11, 2014
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.