DFX Intelligence
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Registered advisor
K•••• P••• L••••
Feed of 09/14/2026
At current firm
6 y
since Sep 8, 2020
In the industry
29 y
since Aug 12, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 8, 2020 · Ft Lauderdale, Fl
- M••••• S•••••• wirehouseSep 22, 2014 to Sep 9, 2020 · Ft. Lauderdale, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Jul 10, 2006 · Tamarac, Fl
- Q•••• • R•••••• I••• unclassifiedMar 19, 2003 to Oct 20, 2004 · Davie, Fl
- P••••••••• E••••• G••••• L•• unclassifiedSep 8, 1998 to Mar 19, 2003 · Coral Springs, Fl
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Sep 9, 2020, registered Sep 8, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to M••••• S••••••left Jul 10, 2006, registered Sep 22, 2014 (2996 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- P••••••••• E••••• G••••• L•• to Q•••• • R•••••• I•••left Mar 19, 2003, registered Mar 19, 2003 (0 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address