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

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RIA / WealthAdvisor22 years in industry

S••••• J••• K••••

Advisor at C••• L••

Las Vegas, NV | OMAHA, NE

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Search this name across graphsid dfx:ria:9c402274-a14f-c879-3198-018f93d6e47e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 15, 2004 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••• L••
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: Mar 8, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 6derivedfrom 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
C••• L••	Bd affiliated wealth	Oct 18, 2019	n/a	yes	Las Vegas, NV\|OMAHA, NE	Current employment
L••••••• W••••• M••••••••• G••••• L••	Former SEC adviser	May 17, 2018	Mar 26, 2020	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
L••••••• W••••• M••••••••• G••••• L••	C••• L••	Mar 26, 2020	Oct 18, 2019	-160	Firm change after gap	RIA to ibd
T•• W••••• C••••••••• G••••	L••••••• W••••• M••••••••• G••••• L••	Jun 5, 2018

Relationships

Registered with (5)

→ C••• L••Registered adviserregistration: current employment
Oct 18, 2019 to presentfactForm ADV
→ L••••••• W••••• M••••••••• G••••• L••Registered adviserregistration: previous registration
May 17, 2018 to Mar 26, 2020factForm ADV
→ T•• W••••• C••••••••• G••••Registered adviserregistration: previous registration
Oct 23, 2014 to Jun 5, 2018factForm ADV
→ N•• E•••••• S••••••••• C•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c402274-a14f-c879-3198-018f93d6e47e
First observed: Jun 15, 2004
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.