DFX Intelligence
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Registered advisor
R••••• S•••• K••••••••
Feed of 09/14/2026
Also filed as S•••• K••••••••
At current firm
0 y
since Dec 8, 2025
In the industry
32 y
since Apr 21, 1994 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Dec 8, 2025 · S••••Sdale, Az
- A••••••••• F•••••••• S•••••••• L•• national BDDec 4, 2020 to Dec 11, 2025 · Downers Grove, Il
- E••••• J•••• national BDJun 2, 2017 to Dec 7, 2020 · Yorkville, Il
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Dec 11, 2025, registered Dec 8, 2025 (-3 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Dec 7, 2020, registered Dec 4, 2020 (-3 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedDec 11, 2025 · Advisor changed firm · fact
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