DFX Intelligence
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Registered advisor
S•••• L•• K••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as S•••• L•• P•••••
At current firm
0 y
since Oct 15, 2025
In the industry
34 y
since Apr 1, 1992 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 15, 2025 · Pacific Grove, Ca
- C••••••••• F•••••••• N•••••• national BDOct 31, 2003 to Oct 15, 2025 · Pacific Grove, Ca
- A•••••• A••••••• S••••••• formerJun 18, 1996 to Mar 1, 2004 · Pacific Grove, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 15, 2025, registered Oct 15, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- A•••••• A••••••• S••••••• to C••••••••• F•••••••• N••••••left Mar 1, 2004, registered Oct 31, 2003 (-122 days) · Other
Signals
- ••• LockedOct 15, 2025 · 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address