DFX Intelligence
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Registered advisor
D•••• L••• P•••••••
Feed of 09/14/2026
Also filed as D•••• L••• S••••••••• L••• A••••••••• L••• F••••••••• L••• H••••••••• L••• P••••••••• L••• H•••
At current firm
7 y
since Jan 25, 2019
In the industry
33 y
since Jan 1, 1993 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
n/a
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 25, 2019 · Austin, Tx
- L•• F•••••••• L•• BD affiliatedOct 20, 2014 to Jan 17, 2018 · Brea, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••left Jan 17, 2018, registered Jan 25, 2019 (373 days) · RIA to affiliated broker-dealer or bank
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address