DFX Intelligence
RIA Intelligence
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Registered advisor
T••• P•••••• W•••
Feed of 09/14/2026
At current firm
19 y
since Sep 26, 2006
In the industry
28 y
since Dec 12, 1997 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 26, 2006 · Louisville, Ky
- M••••• K••••• • C••••••• L•• formerSep 3, 2004 to Sep 12, 2006 · Louisville, Ky
- U•• F•••••••• S••••••• I••• wirehouseJan 8, 2004 to Sep 30, 2004 · Louisville, Ky
Moves
a registration end followed by a registration begin elsewhere
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Sep 12, 2006, registered Sep 26, 2006 (14 days) · Other
- U•• F•••••••• S••••••• I••• to M••••• K••••• • C••••••• L••left Sep 30, 2004, registered Sep 3, 2004 (-27 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address