DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)29 years in industry

J••••••• L• K••••

Advisor at C•••••• S••••• • C••• I•••

Westlake, TX

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Search this name across graphsid dfx:ria:7e8dd7e7-9876-17b6-a0bc-cdd8128142e9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jan 28, 2002 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: C•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Nov 15, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 8

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Aug 26, 2022	n/a	yes	Westlake, TX	Current employment
V••••••• A•••••••• I•••	Bd affiliated wealth	Oct 15, 2021	Jul 5, 2022	no	Scottsdale, AZ	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
V••••••• A•••••••• I•••	C•••••• S••••• • C••• I•••	Jul 5, 2022	Aug 26, 2022	52	Firm change	Ibd to ibd
F••••• I•••••••••	V••••••• A•••••••• I•••	Oct 15, 2021	Oct 15, 2021

Team moves

••• Locked

Team	Left	Joined	From	Kind
106715:5393:AZ:2022-07-05	Jul 5, 2022	Aug 26, 2022	SCOTTSDALE, AZ	Firm change
106036:286001:CA:2018-10-10	Oct 10, 2018	May 18, 2018	OAKLAND, CA	Firm change after gap

Relationships

Registered with (9)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Aug 26, 2022 to presentfactForm ADV
→ V••••••• A•••••••• I•••Registered adviserregistration: previous registration
Oct 15, 2021 to Jul 5, 2022factForm ADV
→ F••••• I•••••••••Registered adviserregistration: previous registration
Apr 22, 2021 to Oct 15, 2021factForm ADV
→ L••••• G••••• W•••••• L••

Dated events

Occurred
Jul 5, 2022
Advisor changed firm
J••••••• L• K•••• left V••••••• A•••••••• I••• for C•••••• S••••• • C••• I••• (registered 2022-08-26)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7e8dd7e7-9876-17b6-a0bc-cdd8128142e9
First observed: Jan 28, 2002
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.