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RIA Intelligence
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Registered advisor
L•••• K•••• E•••••
Feed of 09/14/2026
Also filed as L•••• K•••• E•••••
At current firm
5 y
since Dec 1, 2020
In the industry
26 y
since Jun 8, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- I•••••• A•••••••• L•• independent RIA currentsince Dec 1, 2020 · North Fort Myers, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDDec 5, 2014 to Nov 27, 2020 · Kalispell, Mt
- U••• B•••••• I••••••••• I••• formerOct 17, 2011 to Dec 9, 2014 · Galena, Il
- L•• F•••••••• L•• BD affiliatedDec 19, 2008 to Oct 31, 2011 · Galena, Il
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to I•••••• A•••••••• L••left Nov 27, 2020, registered Dec 1, 2020 (4 days) · Affiliated broker-dealer or bank to independent RIA
- U••• B•••••• I••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Dec 9, 2014, registered Dec 5, 2014 (-4 days) · Other
- L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••left Oct 31, 2011, registered Oct 17, 2011 (-14 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address