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

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RIA / WealthAdvisordual registered (broker-dealer)44 years in industry

J•••• L•• K•••••••••

Advisor at A•••••• P••••••• P•••••••• I•••

CENTERVILLE, IA | Centerville, IA | DUBUQUE, IA

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Search this name across graphsid dfx:ria:96f4a078-b515-60e3-14fc-a9dd934ff85f

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 6, 2007 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: A•••••• P••••••• P•••••••• I•••
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: Jan 1, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 16derivedfrom 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
A•••••• P••••••• P•••••••• I•••	Bd affiliated wealth	Dec 4, 2009	n/a	yes	CENTERVILLE, IA\|Centerville, IA\|DUBUQUE, IA	Current employment
A•••••• A••••••• S•••••••	Former SEC adviser	Jun 6, 2007	Dec 10, 2009	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
A•••••• A••••••• S•••••••	A•••••• P••••••• P•••••••• I•••	Dec 10, 2009	Dec 4, 2009	-6	Firm change	Other

Relationships

Registered with (2)

→ A•••••• P••••••• P•••••••• I•••Registered adviserregistration: current employment
Dec 4, 2009 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Jun 6, 2007 to Dec 10, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:96f4a078-b515-60e3-14fc-a9dd934ff85f
First observed: Jun 6, 2007
Last observed: Sep 15, 2026 7 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.