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

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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultant12 years in industry

C••••••••• K•••••••

Advisor at C••••• I••••••••• A••••••• L••

ERIE, CO | Erie, CO | DUBUQUE, IA

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Search this name across graphsid dfx:ria:c44b6046-46a5-66c1-2ed5-ea40f7875dbc

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Aug 6, 2014 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: C••••• I••••••••• A••••••• 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: Aug 6, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 2derivedfrom 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••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 5, 2025	n/a	yes	ERIE, CO	Current employment
A•••••• P••••••• P•••••••• I•••	Bd affiliated wealth	Oct 9, 2023	n/a	yes	Erie, CO\|DUBUQUE, IA

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•••••••	C••••• I••••••••• A••••••• L••	Sep 5, 2025	Sep 5, 2025	0	Bulk transfer	Ibd to ibd
F••••	A•••••• P••••••• P•••••••• I•••	Oct 3, 2023

Relationships

Registered with (7)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 5, 2025 to presentfactForm ADV
→ A•••••• P••••••• P•••••••• I•••Registered adviserregistration: current employment
Oct 9, 2023 to presentfactForm ADV
→ A•••••• A••••••• S•••••••Registered adviserregistration: previous registration
Nov 6, 2023 to Sep 5, 2025factForm ADV
→ F••••

Dated events

Occurred
Oct 3, 2023
Advisor changed firm
C••••••••• K••••••• left Facet for A•••••• P••••••• P•••••••• I••• (registered 2023-10-09)
Form ADVobserved 7 days ago
Occurred
May 13, 2022
Advisor changed firm
C••••••••• K••••••• left N••••• P••• F•••••••• I••• for Facet (registered 2022-10-06)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c44b6046-46a5-66c1-2ed5-ea40f7875dbc
First observed: Aug 6, 2014
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.