DFX Intelligence
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Registered advisor
K•••• L•••••• A•••••••
Feed of 09/14/2026
Also filed as K•••• H••••••
At current firm
8 y
since Apr 19, 2018
In the industry
32 y
since Jan 4, 1994 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- M••••• S•••••• wirehouse currentsince Apr 19, 2018 · Tampa, Fl
- E•••••• C•••••• M••••••••• L•• formerJul 11, 2022 to Sep 5, 2023 · Temple Terrace, Fl
- W•••• F•••• A••••••• wirehouseJun 17, 2008 to Apr 12, 2018 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- E•••••• C•••••• M••••••••• L•• to no registered destinationleft Sep 5, 2023 · Departure, no registered destination
- W•••• F•••• A••••••• to M••••• S••••••left Apr 12, 2018, registered Apr 19, 2018 (7 days) · Wirehouse to wirehouse
Signals
- ••• LockedSep 5, 2023 · Advisor departure · fact
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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address