DFX Intelligence
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Registered advisor
A••••• K•••••• H•••••••••
Feed of 09/15/2026
Also filed as D••• H••••••••• H••••••••• K•••••• H••••••••• K•••••• H•••••••••
At current firm
2 y
since Oct 19, 2023
In the industry
25 y
since Nov 17, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 19, 2023 · Seattle, Wa
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Oct 18, 2023 · Tacoma, Wa
- C••••• I••••••••• S••••••• L•• formerFeb 2, 2009 to Jan 21, 2014 · Tacoma, Wa
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 25, 2001 to Feb 17, 2009 · Tacoma, Wa
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 18, 2023, registered Oct 19, 2023 (1 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to C••••• I••••••••• S••••••• L••left Feb 17, 2009, registered Feb 2, 2009 (-15 days) · Other
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address