DFX Intelligence

Data Factory

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

L•••• K•••• C••••••••

Advisor at W•••• F•••• A•••••••

Rock River, WY | SCOTTSDALE, AZ

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:b69c6c2c-833d-f1df-88c4-d07882799dcc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Jun 25, 2003 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Feb 1, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 23derivedfrom the current registration's begin date
Prior firms: 1

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Jul 1, 2003	n/a	yes	SCOTTSDALE, AZ\|SCOTTSDALE, AZ\|Rock River, WY	Current employment
P••••••••• E••••• G••••• L••	n/a	Jun 25, 2003	Jul 1, 2003	no	SCOTTSDALE, AZ

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
P••••••••• E••••• G••••• L••	W•••• F•••• A•••••••	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Relationships

Registered with (2)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Jul 1, 2003 to presentfactForm ADV
→ P••••••••• E••••• G••••• L••Registered adviserregistration: previous registration
Jun 25, 2003 to Jul 1, 2003factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b69c6c2c-833d-f1df-88c4-d07882799dcc
First observed: Jun 25, 2003
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.