DFX Intelligence
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Registered advisor
H•••••• L••••• K•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as H•••••• L••••• T••••••••• L••••• B•••••••
At current firm
2 y
since Jun 14, 2024
In the industry
29 y
since Apr 7, 1997 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Addison, Tx
- S••••••••• A•••••• A•••••••• I••• formerMar 31, 2017 to Jun 14, 2024 · Addison, Tx
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 21, 2016 to Apr 6, 2017 · Addison, Tx
- N•• A•••••• S•••••••• L•• formerJun 17, 2010 to Sep 22, 2016 · Dallas, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 5, 2006 to Jun 21, 2010 · Lewisville, Tx
- O•••• F•• I••• formerApr 8, 1997 to Jun 24, 2006 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- K••••• A••••••• S•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Apr 6, 2017, registered Mar 31, 2017 (-6 days) · Other · moved with a team
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 21, 2016 (-154 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to N•• A•••••• S•••••••• L••left Jun 21, 2010, registered Jun 17, 2010 (-4 days) · Other
- O•••• F•• I••• to M•• I•••••••• S•••••••• L••left Jun 24, 2006, registered Jul 5, 2006 (11 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address