DFX Intelligence
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Registered advisor
W•••••• E••••• W•••••
Feed of 09/15/2026
At current firm
2 y
since Sep 20, 2024
In the industry
30 y
since Jul 8, 1996 (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
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
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 20, 2024 · Goleta, Ca
- L•• F•••••••• L•• BD affiliatedMar 8, 2004 to Sep 26, 2024 · Goleta, Ca
- A• G• E•••••• • S•••• I••• unclassifiedMar 30, 2001 to Aug 16, 2002 · Santa Barbara, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 26, 2024, registered Sep 20, 2024 (-6 days) · Affiliated broker-dealer or bank to another
- A• G• E•••••• • S•••• I••• to L•• F•••••••• L••left Aug 16, 2002, registered Mar 8, 2004 (570 days) · Other
Signals
- ••• LockedSep 26, 2024 · Advisor changed firm · fact
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address