DFX Intelligence
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Registered advisor
A•• E•••••••• K••••••
Feed of 09/14/2026
Also filed as A•• E•••••••• R••••
At current firm
17 y
since Aug 7, 2009
In the industry
25 y
since Sep 18, 2001 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Aug 7, 2009 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedMar 10, 2003 to Jul 24, 2009 · Houston, Tx
- W•••••• • R••• formerSep 19, 2001 to Jan 29, 2003 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to M••••• S••••••left Jul 24, 2009, registered Aug 7, 2009 (14 days) · Other
- W•••••• • R••• to L•• F•••••••• L••left Jan 29, 2003, registered Mar 10, 2003 (40 days) · Other
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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address