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

S••• F•••••• O•••••

K••••• A••••••• S•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 2289334
Feed of 09/14/2026
At current firm
10 y
since Apr 20, 2016
In the industry
32 y
since Feb 17, 1994 (earliest exam, job or registration)
Prior registered firms
1
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
  • 1••• C•••••• M••••••••• C•••••• unclassified
    Feb 11, 2001 to Feb 12, 2007 · Edison, Nj
Moves
a registration end followed by a registration begin elsewhere
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