DFX Intelligence
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Registered advisor
R•••••••• K•••• L•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R•••••••• M•••••••• K••••••••• M•••••••• L••••••••• M••••••••• K•••• M•••
At current firm
14 y
since Aug 31, 2012
In the industry
21 y
since Feb 28, 2005 (earliest exam, job or registration)
Prior registered firms
3
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 31, 2012 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Sep 4, 2012 · Houston, Tx
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 5, 2006 to Oct 23, 2009 · Houston, Tx
- W•••••• • R••• formerMar 1, 2005 to Dec 6, 2006 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Sep 4, 2012, registered Aug 31, 2012 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Dec 6, 2006, registered Dec 5, 2006 (-1 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address