DFX Intelligence
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Registered advisor
K•••••••• L• C••••••
Feed of 09/14/2026
At current firm
8 y
since Apr 16, 2018
In the industry
28 y
since Oct 23, 1997 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- E•••••••• A•••••••• L•• national BD currentsince Apr 16, 2018 · Northwood, Nh
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Apr 16, 2018 · Northwood, Nh
- M•• F•••••••• S•••••••• I••• formerNov 30, 2005 to Mar 25, 2017 · Southborough, Ma
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedNov 13, 1997 to Jan 6, 2006 · Woodbridge, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Apr 16, 2018, registered Apr 16, 2018 (0 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M•••••• I••••••••• F••• S••••••• L•• to M•• F•••••••• S•••••••• I•••left Jan 6, 2006, registered Nov 30, 2005 (-37 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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