DFX Intelligence

K•••••• E••••• R•••••: 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 / WealthAdvisorCertified Financial Planner28 years in industry

K•••••• E••••• R•••••

Advisor at C••• L••

Yakima, WA | OMAHA, NE

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:e4bc4373-98af-9cf1-50d4-2433c60d5348

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 24, 2001 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 public••• Locked
Industry start: Mar 10, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••• L••	Bd affiliated wealth	Jun 17, 2020	n/a	yes	Yakima, WA\|OMAHA, NE	Current employment
F•••••••• M••••••••• I•••	Former SEC adviser	Feb 16, 2017	Sep 28, 2020	no	YAKIMA, WA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• M••••••••• I•••	C••• L••	Sep 28, 2020	Jun 17, 2020	-103	Firm change after gap	RIA to ibd
I••••• F•••••••• C•••••••••	F•••••••• M••••••••• I•••	Jan 9, 2017	Feb 16, 2017

Team moves

••• Locked

Team	Left	Joined	From	Kind
117578:155344:WA:2020-09-28	Sep 28, 2020	Jun 17, 2020	YAKIMA, WA	Firm change after gap

Relationships

Registered with (4)

→ C••• L••Registered adviserregistration: current employment
Jun 17, 2020 to presentfactForm ADV
→ F•••••••• M••••••••• I•••Registered adviserregistration: previous registration
Feb 16, 2017 to Sep 28, 2020factForm ADV
→ I••••• F•••••••• C•••••••••Registered adviserregistration: previous registration
Jan 19, 2010 to Jan 9, 2017factForm ADV
→ P•••••• W••• F•••••••• C••••••••• I••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e4bc4373-98af-9cf1-50d4-2433c60d5348
First observed: Oct 24, 2001
Last observed: Sep 14, 2026 9 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.