DFX Intelligence
RIA Intelligence
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Registered advisor
A•••• L••• S••••••
Feed of 09/15/2026
At current firm
11 y
since Jan 8, 2015
In the industry
21 y
since Jun 1, 2005 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- K••••• A•••••••• I••• BD affiliated currentsince Jan 8, 2015 · Atlanta, Ga
- R••••••• H••••••• I••••••••• A•••••••• I••• formerJan 2, 2008 to Dec 31, 2014 · Atlanta, Ga
- A• G• E•••••• • S•••• I••• unclassifiedAug 25, 2005 to Nov 19, 2007 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- R••••••• H••••••• I••••••••• A•••••••• I••• to K••••• A•••••••• I•••left Dec 31, 2014, registered Jan 8, 2015 (8 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to R••••••• H••••••• I••••••••• A•••••••• I•••left Nov 19, 2007, registered Jan 2, 2008 (44 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
- 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