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

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RIA / WealthAdvisor11 years in industry

L•••• K•• W••••••••

Advisor at C•••••• L••

ROCKFORD, IL | Rochester, MN

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Search this name across graphsid dfx:ria:ffcdfb45-5670-1445-6444-8b29e297a1d4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Dec 11, 2015 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: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

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•••••• L••	Independent wealth	May 15, 2024	n/a	yes	ROCKFORD, IL\|Rochester, MN	Current employment
B•• W••••• A•••••••• L••	Independent wealth	Jan 10, 2023	Feb 19, 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
B•• W••••• A•••••••• L••	C•••••• L••	Feb 19, 2024	May 15, 2024	86	Firm change	RIA to RIA
N•••••••• P•••••••• L••	B•• W••••• A•••••••• L••	May 31, 2022

Relationships

Registered with (5)

→ C•••••• L••Registered adviserregistration: current employment
May 15, 2024 to presentfactForm ADV
→ B•• W••••• A•••••••• L••Registered adviserregistration: previous registration
Jan 10, 2023 to Feb 19, 2024factForm ADV
→ N•••••••• P•••••••• L••Registered adviserregistration: previous registration
May 9, 2021 to May 31, 2022factForm ADV
→ U••• B•••••• I••••••••• I•••

Dated events

Occurred
Feb 19, 2024
Advisor changed firm
L•••• K•• W•••••••• left B•• W••••• A•••••••• L•• for C•••••• L•• (registered 2024-05-15)
Form ADVobserved 7 days ago
Occurred
May 31, 2022
Advisor changed firm
L•••• K•• W•••••••• left N•••••••• P•••••••• L•• for B•• W••••• A•••••••• L•• (registered 2023-01-10)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ffcdfb45-5670-1445-6444-8b29e297a1d4
First observed: Dec 11, 2015
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.