DFX Intelligence
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Registered advisor
M•••••• K•••• L••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
0 y
since Oct 7, 2025
In the industry
21 y
since Nov 2, 2004 (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
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 7, 2025 · Austin, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 29, 2023 to Oct 8, 2025 · Greensboro, Nc
- C••••• A•••••• N••••••• L•• formerMay 20, 2021 to Jun 29, 2023 · Greensboro, Nc
- S••••• F•••••••• G•••• I•• formerMar 14, 2006 to May 20, 2021 · Wilmington, Nc
- W••••••• F•••••••• S•••••••• I••• formerMar 8, 2006 to Mar 20, 2006 · Greensboro, Nc
- W••••••• F•••••••• S•••••••• I••• formerMay 5, 2005 to Mar 3, 2006 · Greensboro, Nc
- A• G• E•••••• • S•••• I••• unclassifiedNov 3, 2004 to Apr 13, 2005 · Greensboro, Nc
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to K••••• A••••••• S•••••••• L••left Oct 8, 2025, registered Oct 7, 2025 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
- S••••• F•••••••• G•••• I•• to C••••• A•••••• N••••••• L••left May 20, 2021, registered May 20, 2021 (0 days) · channel change inside one enterprise, not a move · moved with a team
- W••••••• F•••••••• S•••••••• I••• to S••••• F•••••••• G•••• I••left Mar 20, 2006, registered Mar 14, 2006 (-6 days) · Other
- A• G• E•••••• • S•••• I••• to W••••••• F•••••••• S•••••••• I•••left Apr 13, 2005, registered May 5, 2005 (22 days) · Other
Signals
- ••• LockedOct 8, 2025 · a•••••• firm change · 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