DFX Intelligence
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Registered advisor
A••• L••••••• K•••
Feed of 09/14/2026
At current firm
7 y
since Jul 26, 2019
In the industry
16 y
since Dec 30, 2009 (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
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
- W•••• F•••• A••••••• wirehouse currentsince Jul 26, 2019 · Walnut Creek, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 30, 2015 to Jul 30, 2019 · Walnut Creek, Ca
- R•• C•••••• M••••••• L•• national BDJan 6, 2010 to Feb 27, 2015 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Jul 30, 2019, registered Jul 26, 2019 (-4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- R•• C•••••• M••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Feb 27, 2015, registered Jan 30, 2015 (-28 days) · Affiliated broker-dealer or bank to another
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address