DFX Intelligence
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Registered advisor
T••• R••••• O••••••
Feed of 09/14/2026
At current firm
11 y
since Mar 6, 2015
In the industry
33 y
since Dec 28, 1992 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Mar 6, 2015 · Conshohocken, Pa
- M•• F•••••••• S•••••••• I••• formerSep 18, 2007 to Feb 18, 2015 · Plymouth Meeting, Pa
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••left Feb 18, 2015, registered Mar 6, 2015 (16 days) · Other · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address