DFX Intelligence
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Registered advisor
S•••• D•••••• W•••••
Feed of 09/14/2026
At current firm
6 y
since Sep 8, 2020
In the industry
25 y
since Aug 20, 2001 (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, 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
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 8, 2020 · Mt Vernon, In
- L•• F•••••••• L•• BD affiliatedJun 29, 2010 to Sep 23, 2020 · Fort Mill, Sc
- F•••• T•••• S••••••••• I••• BD affiliatedDec 15, 2006 to Jun 25, 2010 · New Harmony, In
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 23, 2020, registered Sep 8, 2020 (-15 days) · Affiliated broker-dealer or bank to another
- F•••• T•••• S••••••••• I••• to L•• F•••••••• L••left Jun 25, 2010, registered Jun 29, 2010 (4 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address