DFX Intelligence
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Registered advisor
K••• D•••
Certified Financial Planner
Feed of 09/15/2026
Also filed as K••• D••••• D•••
At current firm
1 y
since Mar 31, 2025
In the industry
23 y
since Oct 18, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Alexandria, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDSep 5, 2007 to Jul 13, 2018 · Westlake, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 28, 2005 to Sep 1, 2006 · Dallas, Tx
- W•••••• • R••• formerApr 9, 2003 to Feb 28, 2005 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••left Sep 1, 2006, registered Sep 5, 2007 (369 days) · Wirehouse to affiliated broker-dealer or bank
- W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 28, 2005, registered Apr 28, 2005 (59 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address