DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
D••••• L•• K•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as D••••• L•• K•••••• L•• K•••••• K•••
At current firm
11 y
since Apr 29, 2015
In the industry
24 y
since Apr 24, 2002 (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
S66, 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 Apr 29, 2015 · Bend, Or
- C••• F•••••••• S•••••••• L••• formerOct 9, 2012 to Oct 20, 2014 · Vancouver, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDSep 30, 2011 to Oct 25, 2012 · Vancouver, Wa
- C••• F•••••••• S•••••••• L••• formerJun 24, 2009 to Oct 2, 2009 · Oregon City, Or
- E••••• J•••• national BDJan 5, 2009 to Jun 19, 2009 · Bend, Or
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 18, 2006 to Nov 18, 2008 · Bend, Or
- O•••• F•• I••• formerMay 26, 2006 to Dec 6, 2006 · Portland, Or
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 20, 2014, registered Apr 29, 2015 (191 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••left Oct 25, 2012, registered Oct 9, 2012 (-16 days) · Other
- C••• F•••••••• S•••••••• L••• to A••••••••• F•••••••• S•••••••• L••left Oct 2, 2009, registered Sep 30, 2011 (728 days) · Other
- E••••• J•••• to C••• F•••••••• S•••••••• L•••left Jun 19, 2009, registered Jun 24, 2009 (5 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Nov 18, 2008, registered Jan 5, 2009 (48 days) · Wirehouse to affiliated broker-dealer or bank
- O•••• F•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 6, 2006, registered Dec 18, 2006 (12 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address