DFX Intelligence
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Registered advisor
K•••• T••••• C••••••
Feed of 09/14/2026
At current firm
1 y
since Feb 11, 2025
In the industry
36 y
since Jul 20, 1990 (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
S65, S63
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•• E••••••••• L•• BD affiliated currentsince Feb 11, 2025 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseSep 18, 2020 to Feb 5, 2025 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJun 16, 2017 to Sep 18, 2019 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jun 21, 2017 · Charlotte, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 8, 2008 to Oct 23, 2009 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 31, 2001 to Aug 11, 2008 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• E••••••••• L••left Feb 5, 2025, registered Feb 11, 2025 (6 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jun 21, 2017, registered Jun 16, 2017 (-5 days) · Wirehouse to wirehouse · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 11, 2008, registered Aug 8, 2008 (-3 days) · Other
Signals
- ••• LockedFeb 5, 2025 · 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address