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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

L•••• K••••••

Advisor at L•• F•••••••• L••

HOOVER, AL | BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:adb4cc09-1de2-63b8-8c63-a828c3a5e8d5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Apr 16, 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: L•• F•••••••• 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: Sep 4, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom 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
L•• F•••••••• L••	Bd affiliated wealth	Oct 15, 2019	n/a	yes	BIRMINGHAM, AL\|HOOVER, AL	Current employment
L••••••• W•••••• I•••	Independent wealth	Sep 20, 2019	Oct 3, 2019	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•••••• I•••	L•• F•••••••• L••	Oct 3, 2019	Oct 15, 2019	12	Firm change	RIA to ibd
C•••••••• F•••••••• G•••• A•••••••	L••••••• W•••••• I•••	Sep 6, 2019

Relationships

Registered with (8)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Oct 15, 2019 to presentfactForm ADV
→ L••••••• W•••••• I•••Registered adviserregistration: previous registration
Sep 20, 2019 to Oct 3, 2019factForm ADV
→ C•••••••• F•••••••• G•••• A•••••••Registered adviserregistration: previous registration
Dec 27, 2018 to Sep 6, 2019factForm ADV
→ B•••••••• I••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:adb4cc09-1de2-63b8-8c63-a828c3a5e8d5
First observed: Apr 16, 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.