DFX Intelligence
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Registered advisor
R••••• K••••••• L••••
Feed of 09/14/2026
Also filed as R••••• K••••••• F••••••••• K••••••• L••••••••• F••••••••• L••••••••• K••••••• K••••••••• K••••••
At current firm
3 y
since Apr 26, 2023
In the industry
21 y
since Jan 14, 2005 (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
S65, S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P•••••••• A••••••• national BD currentsince Apr 26, 2023 · Williamsburg, Va
- B• I••••••••• L•• unclassifiedJan 18, 2005 to Nov 15, 2006 · Williamsburg, Va
Moves
a registration end followed by a registration begin elsewhere
- B• I••••••••• L•• to P•••••••• A•••••••left Nov 15, 2006, registered Apr 26, 2023 (6006 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address