DFX Intelligence
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Registered advisor
K••• L•• R••••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
1 y
since Jan 27, 2025
In the industry
21 y
since Oct 11, 2004 (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, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 27, 2025 · San Diego, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDOct 2, 2023 to Jan 28, 2025 · Scottsdale, Az
- J•••••• R•••••••• W••••• A•••••••• I••• unclassifiedMar 27, 2018 to May 29, 2020 · Scottsdale, Az
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 13, 2018 to Oct 12, 2023 · Scottsdale, Az
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jan 28, 2025, registered Jan 27, 2025 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to J•••••• R•••••••• W••••• A•••••••• I•••left Oct 12, 2023, registered Mar 27, 2018 (-2025 days) · Other · moved with a team
- J•••••• R•••••••• W••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left May 29, 2020, registered Oct 2, 2023 (1221 days) · Other · moved with a team
Signals
- ••• LockedJan 28, 2025 · Advisor changed firm · fact
- ••• LockedOct 12, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address