DFX Intelligence
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Registered advisor
L••• R• K••••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as L••• R• K••••••••• R•••• K••••••••• R•••• K••••••••• K••••••••• G•••••••• K• G•••
At current firm
8 y
since Jan 16, 2018
In the industry
31 y
since Dec 9, 1994 (earliest exam, job or registration)
Prior registered firms
4
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 Jan 16, 2018 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 21, 2012 to Jan 18, 2018 · Tampa, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 8, 2012 · Tampa, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 2, 2008 to Jun 1, 2009 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 15, 1995 to Nov 19, 2008 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jan 18, 2018, registered Jan 16, 2018 (-2 days) · Wirehouse to independent RIA · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 8, 2012, registered Aug 21, 2012 (13 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Nov 19, 2008, registered Dec 2, 2008 (13 days) · Other
Signals
No dated event on this person.
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address