DFX Intelligence
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Registered advisor
K••••••• A•• H••••••••
Feed of 09/15/2026
Also filed as K••••••• A•• L••••••••• A•• L••••••••• A•• O••••••••• O••••••••• A•• O••••••••• A• O•••••••
At current firm
4 y
since Apr 14, 2022
In the industry
31 y
since Jan 11, 1995 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
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 Apr 14, 2022 · Orland Park, Il
- J••• M••••• S••••••••• L•• wirehouseSep 17, 2013 to Apr 15, 2022 · Hinsdale, Il
- P•• W••••• M••••••••• BD affiliatedMay 24, 2010 to Sep 20, 2013 · Berwyn, Il
- F•••• T•••• S••••••••• I••• BD affiliatedMay 31, 2007 to May 7, 2010 · Orland Park, Il
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Apr 15, 2022, registered Apr 14, 2022 (-1 days) · Wirehouse to independent RIA · moved with a team
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Sep 20, 2013, registered Sep 17, 2013 (-3 days) · Other
- F•••• T•••• S••••••••• I••• to P•• W••••• M•••••••••left May 7, 2010, registered May 24, 2010 (17 days) · Other
Signals
- ••• LockedApr 15, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
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