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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

Michael K De Luz

Advisor at WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC

PARKER DAM, CA | WESTLAKE VILLAGE, CA

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Search this name across graphsid dfx:ria:f440a847-5cf5-ec87-4e94-2e06b497ec2d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Jan 3, 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: WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 18, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Oct 18, 1994
First registration: Jan 3, 2003
Dual registered: yes, broker-dealer
Other names: Michael Kirk De Luz
IAPD individual key: 2526894

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
WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC	Independent wealth	Aug 8, 2023	n/a	yes	PARKER DAM, CA\|WESTLAKE VILLAGE, CA	Current employment
KOVACK ADVISORS, INC.	Bd affiliated wealth	Apr 23, 2020	Aug 15, 2022	no	Newport Beach, CA\|FT. LAUDERDALE, FL	Previous registration
LAZARI CAPITAL MANAGEMENT, INC.	Independent wealth	May 16, 2018	Sep 11, 2023	no	BURBANK, CA	Previous registration
KINGSWOOD WEALTH ADVISORS, LLC	Bd affiliated wealth	Nov 2, 2017	Jan 19, 2018	no	SAN DIEGO, CA	Previous registration
FINANCIAL WEST GROUP	Former SEC adviser	Feb 2, 2017	May 4, 2017	no	WESTLAKE VILLAGE, CA	Previous registration
CL WEALTH MANAGEMENT LLC	Independent wealth	Jan 26, 2016	Oct 31, 2016	no	Huntington Beach, CA\|SCHAUMBURG, IL	Previous registration
FINANCIAL WEST GROUP	Former SEC adviser	May 27, 2014	Dec 16, 2015	no	WESTLAKE VILLAGE, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 3, 2003	Jan 14, 2003	no	ORANGE, CA	Previous registration

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
LAZARI CAPITAL MANAGEMENT, INC.	KOVACK ADVISORS, INC.	Sep 11, 2023	Apr 23, 2020	-1,236	Firm change after gap	RIA to ibd
KOVACK ADVISORS, INC.	WILLIAMS & NOVAK WEALTH MANAGEMENT, LLC	Aug 15, 2022	Aug 8, 2023	358	Firm change	Ibd to new firm
KINGSWOOD WEALTH ADVISORS, LLC	LAZARI CAPITAL MANAGEMENT, INC.	Jan 19, 2018	May 16, 2018	117	Firm change	Other
FINANCIAL WEST GROUP	KINGSWOOD WEALTH ADVISORS, LLC	May 4, 2017	Nov 2, 2017	182	Firm change	Other
CL WEALTH MANAGEMENT LLC	FINANCIAL WEST GROUP	Oct 31, 2016	Feb 2, 2017	94	Firm change	Other
FINANCIAL WEST GROUP	CL WEALTH MANAGEMENT LLC	Dec 16, 2015	Jan 26, 2016	41	Firm change	Other
UBS FINANCIAL SERVICES INC.	FINANCIAL WEST GROUP	Jan 14, 2003	May 27, 2014	4,151	Firm change after gap	Other

Relationships

Registered with (7)

→ WILLIAMS & NOVAK WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Aug 8, 2023 to presentfactForm ADV
→ LAZARI CAPITAL MANAGEMENT, INC.Registered adviserregistration: previous registration
May 16, 2018 to Sep 11, 2023factForm ADV
→ KOVACK ADVISORS, INC.Registered adviserregistration: previous registration
Apr 23, 2020 to Aug 15, 2022factForm ADV
→ KINGSWOOD WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 2, 2017 to Jan 19, 2018factForm ADV
→ FINANCIAL WEST GROUPRegistered adviserregistration: previous registration
Feb 2, 2017 to May 4, 2017factForm ADV
→ CL WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Jan 26, 2016 to Oct 31, 2016factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 3, 2003 to Jan 14, 2003factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 11, 2023
Advisor changed firm
Michael K De Luz left Lazari Capital Management, Inc. for Kovack Advisors, Inc. (registered 2020-04-23)
Form ADVobserved 5 days ago
Occurred
Aug 15, 2022
Advisor changed firm
Michael K De Luz left Kovack Advisors, Inc. for Williams & Novak Wealth Management, Llc (registered 2023-08-08)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
Sep 14, 2026
Michael K De Luz added a TX registration at Williams & Novak Wealth Management, Llc