DFX Intelligence
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Registered advisor
K••• L••• D••••••
Feed of 09/14/2026
At current firm
8 y
since Aug 23, 2018
In the industry
38 y
since Apr 22, 1988 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Aug 23, 2018 · Caldwell, Id
- W•••• F•••• A••••••• wirehouseJun 2, 2017 to Aug 28, 2018 · Corvallis, Or
- W•••• F•••• A••••••• wirehouseJun 20, 2008 to Jun 2, 2017 · Corvallis, Or
- R•• C•••••• M••••••• L•• national BDFeb 9, 2000 to Jul 9, 2008 · Corvallis, Or
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 28, 2018, registered Aug 23, 2018 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jun 2, 2017, registered Jun 2, 2017 (0 days) · channel change inside one enterprise, not a move
- R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••left Jul 9, 2008, registered Jun 20, 2008 (-19 days) · Affiliated broker-dealer or bank to wirehouse
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address