DFX Intelligence
RIA Intelligence
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Registered advisor
R••• K•••• T••••••
Feed of 09/14/2026
At current firm
1 y
since Jul 10, 2025
In the industry
32 y
since Jan 1, 1994 (earliest exam, job or registration)
Prior registered firms
2
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
- L•• F•••••••• L•• BD affiliated currentsince Jul 10, 2025 · Stromsburg, Ne
- N••• F•••••••• G••••• I••• formerAug 22, 2011 to Jul 10, 2025 · Stromsburg, Ne
- A•••• F•••••••• S••••••• I•• independent RIAJan 14, 1997 to Mar 11, 2010 · Stromsburg, Ne
Moves
a registration end followed by a registration begin elsewhere
- N••• F•••••••• G••••• I••• to L•• F•••••••• L••left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
- A•••• F•••••••• S••••••• I•• to N••• F•••••••• G••••• I•••left Mar 11, 2010, registered Aug 22, 2011 (529 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
- 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