DFX Intelligence
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Registered advisor
K•••••• D••••• I•••••••••
Feed of 09/15/2026
Also filed as K•••• I•••••••••
At current firm
2 y
since May 16, 2024
In the industry
31 y
since Mar 23, 1995 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 16, 2024 · Fort Mill, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 4, 2007 to May 20, 2024 · Oklahoma City, Ok
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Apr 9, 2007 · Oklahoma City, Ok
- M••••• S•••••• D• I••• unclassifiedSep 26, 2003 to Apr 2, 2007 · Oklahoma City, Ok
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 6, 2003 · Edmond, Ok
- P••••••••• E••••• G••••• L•• unclassifiedMar 8, 2002 to Jul 1, 2003 · Edmond, Ok
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left May 20, 2024, registered May 16, 2024 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 9, 2007, registered May 4, 2007 (25 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• D• I•••left Aug 6, 2003, registered Sep 26, 2003 (51 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedMay 20, 2024 · Advisor changed firm · fact
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address