DFX Intelligence
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Registered advisor
K•••• W•••• L••••
Feed of 09/15/2026
Also filed as K•••• L••••
At current firm
5 y
since May 25, 2021
In the industry
32 y
since Jun 24, 1994 (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
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
- A••••• A•• P••••••• S••••••• BD affiliated currentsince May 25, 2021 · Saratoga Springs, Ny
- L•• F•••••••• L•• BD affiliatedAug 16, 2010 to Dec 31, 2010 · Schenectady, Ny
- A••••• A•• P••••••• S••••••• BD affiliatedJan 17, 2008 to Sep 2, 2009 · Latham, Ny
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Dec 31, 2010, registered May 25, 2021 (3798 days) · Other
- A••••• A•• P••••••• S••••••• to L•• F•••••••• L••left Sep 2, 2009, registered Aug 16, 2010 (348 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address