DFX Intelligence
RIA Intelligence
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Registered advisor
D•••• J••••• K•••••
Feed of 09/14/2026
At current firm
6 y
since Sep 22, 2020
In the industry
24 y
since Dec 21, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Sep 22, 2020 · Boca Raton, Fl
- S••••••• F•••••••• S•••••••• I••• formerApr 5, 2012 to Oct 1, 2019 · Fort Myers, Fl
- O•••• F•• I••• formerNov 5, 2010 to Mar 20, 2012 · Orlando, Fl
- M•• F•••••••• S•••••••• I••• formerJan 3, 2002 to Nov 11, 2010 · Orlando, Fl
Moves
a registration end followed by a registration begin elsewhere
- S••••••• F•••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••left Oct 1, 2019, registered Sep 22, 2020 (357 days) · Affiliated broker-dealer or bank to another
- O•••• F•• I••• to S••••••• F•••••••• S•••••••• I•••left Mar 20, 2012, registered Apr 5, 2012 (16 days) · Other
- M•• F•••••••• S•••••••• I••• to O•••• F•• I•••left Nov 11, 2010, registered Nov 5, 2010 (-6 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address