DFX Intelligence
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Registered advisor
K•••• R••••• S•••••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
11 y
since Jun 18, 2015
In the industry
31 y
since Oct 6, 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
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
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 18, 2015 · Sioux Falls, Sd
- L•• F•••••••• L•• BD affiliatedApr 18, 2007 to Jun 15, 2015 · Mobridge, Sd
- W•••••• • R••• formerMay 19, 1997 to Apr 17, 2007 · Mobrigdge, Sd
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Jun 15, 2015, registered Jun 18, 2015 (3 days) · Other · moved with a team
- W•••••• • R••• to L•• F•••••••• L••left Apr 17, 2007, registered Apr 18, 2007 (1 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address