DFX Intelligence
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Registered advisor
R•••• A••••• K•••••••
Chartered Financial Consultant
Feed of 09/14/2026
At current firm
14 y
since Oct 11, 2011
In the industry
40 y
since Jul 18, 1986 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Oct 11, 2011 · Johnstown, Pa
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJun 5, 2006 to Oct 11, 2011 · Johnstown, Pa
- C••••• A•••••• N••••••• L•• formerJan 3, 2005 to Jun 6, 2006 · Johnstown, Pa
Moves
a registration end followed by a registration begin elsewhere
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Jun 6, 2006, registered Jun 5, 2006 (-1 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address