DFX Intelligence
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Registered advisor
K•••• M•••••••• L•••
Feed of 09/15/2026
At current firm
4 y
since Dec 17, 2021
In the industry
32 y
since Mar 10, 1994 (earliest exam, job or registration)
Prior registered firms
6
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Dec 17, 2021 · Lakewood Ranch, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Dec 17, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerMay 15, 2013 to Jan 2, 2018 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseMar 25, 2008 to Apr 17, 2013 · Minneapolis, Mn
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 12, 2005 to Feb 4, 2008 · Venice, Fl
- W•••• F•••• A••••••• wirehouseFeb 14, 2002 to Mar 11, 2004 · Venice, Fl
Moves
a registration end followed by a registration begin elsewhere
- T••••• A••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Dec 17, 2021, registered Dec 17, 2021 (0 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Apr 17, 2013, registered May 15, 2013 (28 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Feb 4, 2008, registered Mar 25, 2008 (50 days) · Other
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Mar 11, 2004, registered Jan 12, 2005 (307 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address