DFX Intelligence
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Registered advisor
D•••• A••• E••••••••
Feed of 09/14/2026
At current firm
2 y
since Jun 19, 2024
In the industry
28 y
since Mar 11, 1998 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jun 19, 2024 · Florence, Al
- K•• W••••• A••••••• L•• formerJan 9, 2024 to Jul 17, 2024 · Hazlet, Nj
- K•• W••••• A••••••• L•• formerNov 21, 2021 to Dec 31, 2023 · Florence, Al
- W•••• F•••• A••••••• wirehouseApr 13, 2012 to Nov 26, 2021 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseNov 12, 2004 to Apr 23, 2012 · Paramus, Nj
- M••••• S•••••• D• I••• unclassifiedJun 7, 2002 to Nov 15, 2004 · Ridgewood, Nj
Moves
a registration end followed by a registration begin elsewhere
- K•• W••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 17, 2024, registered Jun 19, 2024 (-28 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to K•• W••••• A••••••• L••left Nov 26, 2021, registered Nov 21, 2021 (-5 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Apr 23, 2012, registered Apr 13, 2012 (-10 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Nov 15, 2004, registered Nov 12, 2004 (-3 days) · Other
Signals
- ••• LockedJul 17, 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address