DFX Intelligence
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Registered advisor
K•• K•••• L•••
Feed of 09/14/2026
At current firm
3 y
since May 2, 2023
In the industry
42 y
since Mar 16, 1984 (earliest exam, job or registration)
Prior registered firms
2
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince May 2, 2023 · Boca Raton, Fl
- S••••• F•••••••• G•••• I•• formerApr 29, 2005 to May 20, 2021 · Boca Raton, Fl
- W•••• F•••• A••••••• wirehouseJun 16, 1999 to May 2, 2005 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered May 2, 2023 (712 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S••••• F•••••••• G•••• I••left May 2, 2005, registered Apr 29, 2005 (-3 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address