DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
M•••••• K•••• L•••••••
Feed of 09/14/2026
Also filed as M•••••• L•••••••
At current firm
5 y
since Mar 3, 2021
In the industry
35 y
since Feb 25, 1991 (earliest exam, job or registration)
Prior registered firms
7
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
- C•••••• S••••• • C••• I••• national BD currentsince Mar 3, 2021 · Lone Tree, Co
- W•••• F•••• A••••••• wirehouseFeb 5, 2019 to Jan 27, 2021 · Loveland, Co
- C••• B•••••••• S•••••••• I••• formerJan 10, 2014 to Feb 1, 2019 · Waverly, Ia
- P•••• S••••••••• L•• no RAUMJan 4, 2013 to Jan 7, 2014 · Birmingham, Al
- C•••••••• F•••••••• G•••• A••••••• formerNov 2, 2009 to Apr 30, 2010 · Birmingham, Al
- J••• H•••••• I••••••••• M••••••••• L•• asset managerDec 6, 2008 to Oct 13, 2009 · Birmingham, Al
- J••• H•••••• D••••••••• L•• unclassifiedJun 29, 2004 to Dec 31, 2006 · Birmingham, Al
- L•••••• F•••••••• D••••••••• I••• unclassifiedDec 20, 2002 to Jun 14, 2004 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Jan 27, 2021, registered Mar 3, 2021 (35 days) · Wirehouse to affiliated broker-dealer or bank
- C••• B•••••••• S•••••••• I••• to W•••• F•••• A•••••••left Feb 1, 2019, registered Feb 5, 2019 (4 days) · RIA to wirehouse
- P•••• S••••••••• L•• to C••• B•••••••• S•••••••• I•••left Jan 7, 2014, registered Jan 10, 2014 (3 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to P•••• S••••••••• L••left Apr 30, 2010, registered Jan 4, 2013 (980 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Oct 13, 2009, registered Nov 2, 2009 (20 days) · Other
- J••• H•••••• D••••••••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Dec 31, 2006, registered Dec 6, 2008 (706 days) · Other
- L•••••• F•••••••• D••••••••• I••• to J••• H•••••• D••••••••• L••left Jun 14, 2004, registered Jun 29, 2004 (15 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address