DFX Intelligence
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Registered advisor
K•••• D• M••••••
Feed of 09/15/2026
Also filed as K•••• D•• M••••••••• D• M••••••
At current firm
1 y
since Mar 31, 2025
In the industry
22 y
since May 4, 2004 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Lewisville, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDApr 7, 2008 to Jul 13, 2018 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 14, 2006 to Nov 19, 2007 · Dallas, Tx
- T• A••••••••• I••• formerDec 14, 2006 to Nov 19, 2007 · Dallas, Tx
- H•••••• T••••••• • K•••• L•• independent RIAMar 10, 2006 to Oct 10, 2006 · Addison, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDMay 5, 2004 to Mar 23, 2006 · Richardson, 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
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 19, 2007, registered Dec 14, 2006 (-340 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• A••••••• L••left Nov 19, 2007, registered Apr 7, 2008 (140 days) · Other
- H•••••• T••••••• • K•••• L•• to T• A••••••••• I•••left Oct 10, 2006, registered Dec 14, 2006 (65 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••left Mar 23, 2006, registered Mar 10, 2006 (-13 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address