DFX Intelligence
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Registered advisor
E••••• L• K•••••
Feed of 09/15/2026
Also filed as E••••• L•• K••••••••• L•• K••••••••• L•• K•••••
At current firm
1 y
since Nov 14, 2024
In the industry
26 y
since Mar 10, 2000 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Friedens, Pa
- P•••• S••••••••• L•• no RAUMSep 19, 2018 to Nov 14, 2024 · Ligonier, Pa
- O•••• F•• I••• formerApr 9, 2015 to Sep 12, 2018 · Greensburg, Pa
- N••••••••• S••••••••• L•• no RAUMNov 18, 2011 to Oct 10, 2013 · Lower Burrell, Pa
- P•• W••••• M••••••••• BD affiliatedDec 21, 2005 to Nov 2, 2011 · Tarentum, Pa
- N•••••• I••••••••• I••• unclassifiedMar 2, 2005 to Nov 14, 2005 · Pittsburgh, Pa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Feb 8, 2005 · Rochester, Ny
- Q•••• • R•••••• I••• unclassifiedJul 10, 2003 to Oct 20, 2004 · Rochester, Ny
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to P•••• S••••••••• L••left Sep 12, 2018, registered Sep 19, 2018 (7 days) · Affiliated broker-dealer or bank to another
- N••••••••• S••••••••• L•• to O•••• F•• I•••left Oct 10, 2013, registered Apr 9, 2015 (546 days) · Other
- P•• W••••• M••••••••• to N••••••••• S••••••••• L••left Nov 2, 2011, registered Nov 18, 2011 (16 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 14, 2005, registered Dec 21, 2005 (37 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to N•••••• I••••••••• I•••left Feb 8, 2005, registered Mar 2, 2005 (22 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address