DFX Intelligence
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Registered advisor
K••• E••••• E•••••••
Feed of 09/14/2026
At current firm
7 y
since Dec 12, 2018
In the industry
22 y
since Jul 12, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealth currentsince Dec 12, 2018 · Duluth, Mn
- M••••• S•••••• wirehouseFeb 12, 2013 to Dec 11, 2018 · Duluth, Mn
- W•••• F•••• I••••••••• L•• unclassifiedJul 13, 2004 to Oct 1, 2007 · Duluth, Mn
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to I••••••••• A•••••• A•••••••• L••left Dec 11, 2018, registered Dec 12, 2018 (1 days) · Wirehouse to independent RIA
- W•••• F•••• I••••••••• L•• to M••••• S••••••left Oct 1, 2007, registered Feb 12, 2013 (1961 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
- I••••••••• WEALTHderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address