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

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

K•••• E• C•••••

Advisor at L•• F•••••••• L••

LAKEWOOD, CO

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Search this name across graphsid dfx:ria:d14d7044-1f13-e4f8-213e-af9c332b52d9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Oct 2, 2012 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: May 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom 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
L•• F•••••••• L••	Bd affiliated wealth	Mar 25, 2024	n/a	yes	LAKEWOOD, CO	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jul 1, 2022	Apr 4, 2024	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••••••••• F•••••••• S•••••••• L••	L•• F•••••••• L••	Apr 4, 2024	Mar 25, 2024	-10	Firm change	Ibd to ibd
H•••• F•••••••• G•••• I••	A••••••••• F•••••••• S•••••••• L••	Jul 20, 2022

Relationships

Registered with (4)

→ L•• F•••••••• L••Registered adviserregistration: current employment
Mar 25, 2024 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Jul 1, 2022 to Apr 4, 2024factForm ADV
→ H•••• F•••••••• G•••• I••Registered adviserregistration: previous registration
Jan 24, 2013 to Jul 20, 2022factForm ADV
→ C••••• A•••••• N••••••• L••

Dated events

Occurred
Apr 4, 2024
A•••••• firm change
K•••• E• C••••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2024-03-25)
Form ADVobserved 7 days ago
Occurred
Jul 20, 2022
A•••••• firm change
K•••• E• C••••• left H•••• F•••••••• G•••• I•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-07-01)
Form ADVobserved 7 days ago
Occurred
Jul 8, 2022
A•••••• firm change
K•••• E• C••••• left C••••• A•••••• N••••••• L•• for H•••• F•••••••• G•••• I•• (registered 2013-01-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d14d7044-1f13-e4f8-213e-af9c332b52d9
First observed: Oct 2, 2012
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.