DFX Intelligence
RIA Intelligence
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Registered advisor
K•••• D•••••••• L••
Feed of 09/15/2026
At current firm
5 y
since Apr 1, 2021
In the industry
29 y
since Aug 15, 1997 (earliest exam, job or registration)
Prior registered firms
4
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
- P•••• C•••••• F•••••••• mixed wealth currentsince Apr 1, 2021 · Overland Park, Ks
- S•••••• L•• unclassifiedJun 14, 2017 to Mar 31, 2021 · Fayetteville, Ar
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Jun 20, 2017 · Fayetteville, Ar
- C••••• I••••••••• S••••••• L•• formerNov 28, 2005 to Jan 21, 2014 · Fayetteville, Ar
- I••••••••• P••••••••• I••• formerJan 1, 2001 to Nov 30, 2005 · Fayetteville, Ar
Moves
a registration end followed by a registration begin elsewhere
- S•••••• L•• to P•••• C•••••• F••••••••left Mar 31, 2021, registered Apr 1, 2021 (1 days) · Other · moved with a team
- C••••• I••••••••• A••••••• L•• to S•••••• L••left Jun 20, 2017, registered Jun 14, 2017 (-6 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- I••••••••• P••••••••• I••• to C••••• I••••••••• S••••••• L••left Nov 30, 2005, registered Nov 28, 2005 (-2 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address