DFX Intelligence
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Registered advisor
R••••• K•••••
Feed of 09/14/2026
Also filed as R••••• P••• N•••••• K••••••••• K•••••
At current firm
2 y
since Feb 7, 2024
In the industry
21 y
since Jul 12, 2005 (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
- L•• F•••••••• L•• BD affiliated currentsince Feb 7, 2024 · Bethesda, Md
- E••••• J•••• national BDJan 7, 2019 to Feb 16, 2024 · Bethesda, Md
- W•••• F•••• A••••••• wirehouseJan 16, 2018 to Jan 15, 2019 · Bethesda, Md
- W•••••• • R••• formerNov 2, 2009 to Jan 14, 2010 · Owings Mills, Md
- W••••••• F•••••••• S•••••••• I••• formerFeb 13, 2008 to Sep 11, 2008 · Burtonsville, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 13, 2006 to Mar 30, 2006 · North Bethesda, Md
- M••••• S•••••• D• I••• unclassifiedJul 12, 2005 to Jan 5, 2006 · Bethesda, Md
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to L•• F•••••••• L••left Feb 16, 2024, registered Feb 7, 2024 (-9 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to E••••• J••••left Jan 15, 2019, registered Jan 7, 2019 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- W•••••• • R••• to W•••• F•••• A•••••••left Jan 14, 2010, registered Jan 16, 2018 (2924 days) · Other
- W••••••• F•••••••• S•••••••• I••• to W•••••• • R•••left Sep 11, 2008, registered Nov 2, 2009 (417 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••••• F•••••••• S•••••••• I•••left Mar 30, 2006, registered Feb 13, 2008 (685 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 5, 2006, registered Jan 13, 2006 (8 days) · Other
Signals
- ••• LockedFeb 16, 2024 · 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