DFX Intelligence
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Registered advisor
T•••••• F•••••• K•••
Chartered Financial Consultant
Feed of 09/14/2026
At current firm
8 y
since Nov 28, 2017
In the industry
37 y
since Aug 22, 1989 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- S••••••• F•••••••• T••• state registered currentsince Nov 28, 2017 · Lake Mary, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 28, 2014 to Sep 18, 2017 · Lake Mary, Fl
- C••••• A••••••• L•• formerJul 25, 2012 to Jul 2, 2014 · Greenwood Village, Co
- W••••••• F•••••••• S•••••••• I••• formerJan 18, 2012 to Jul 5, 2012 · Winter Park, Fl
- E•••••••• A•••••••• L•• national BDJul 15, 2009 to Jan 17, 2012 · Orlando, Fl
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••••• F•••••••• T•••left Sep 18, 2017, registered Nov 28, 2017 (71 days) · Other · moved with a team
- C••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 2, 2014, registered Jul 28, 2014 (26 days) · Other
- W••••••• F•••••••• S•••••••• I••• to C••••• A••••••• L••left Jul 5, 2012, registered Jul 25, 2012 (20 days) · Other
- E•••••••• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Jan 17, 2012, registered Jan 18, 2012 (1 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
- STATE REGISTEREDderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address