DFX Intelligence
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Registered advisor
F•••• M•••••• O•••
Feed of 09/14/2026
At current firm
19 y
since Jun 29, 2007
In the industry
29 y
since Aug 27, 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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Jun 29, 2007 · Montpelier, Va
- 1••• C•••••• M••••••••• C•••••• unclassifiedApr 29, 2003 to Jul 5, 2007 · Richmond, Va
- N•• E•••••• S••••••••• C••••••••• formerNov 27, 2001 to Apr 11, 2003 · Richmond, Va
Moves
a registration end followed by a registration begin elsewhere
- 1••• C•••••• M••••••••• C•••••• to H•••••• T••••••• • K•••• L••left Jul 5, 2007, registered Jun 29, 2007 (-6 days) · Other
- N•• E•••••• S••••••••• C••••••••• to 1••• C•••••• M••••••••• C••••••left Apr 11, 2003, registered Apr 29, 2003 (18 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address