DFX Intelligence
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Registered advisor
L•••• E• K•••
Feed of 09/14/2026
Also filed as L•••• E•• K••••••••• Y••••••••• E•• K••• Y••••••••• E•• K••• Y••••••••• E• K•••
At current firm
2 y
since Jan 6, 2024
In the industry
21 y
since Jan 24, 2005 (earliest exam, job or registration)
Prior registered firms
6
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 6, 2024 · North Canton, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 8, 2020 to Dec 11, 2023 · Akron, Oh
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 10, 2020 · Akron, Oh
- C•••• I••••••••• S••••••• C•••• formerOct 20, 2010 to Oct 1, 2012 · Akron, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 18, 2010 · Akron, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 30, 2007 to Jun 1, 2009 · Akron, Oh
- M••••• S•••••• D• I••• unclassifiedSep 14, 2005 to Feb 12, 2007 · Akron, Oh
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to J••• M••••• S••••••••• L••left Dec 11, 2023, registered Jan 6, 2024 (26 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 10, 2020, registered Jun 8, 2020 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to C•••• I••••••••• S••••••• C••••left Jun 18, 2010, registered Oct 20, 2010 (124 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Feb 12, 2007, registered May 30, 2007 (107 days) · Other
Signals
- ••• LockedDec 11, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address