DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A••••••••• L••• D••••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as A••••••••• L••• D••••••••
At current firm
9 y
since May 22, 2017
In the industry
20 y
since May 16, 2006 (earliest exam, job or registration)
Prior registered firms
2
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
- O••••••••• S••••••••• I••• BD affiliated currentsince May 22, 2017 · Lincolnshire, Il
- H•••••• T••••••• • K•••• L•• independent RIADec 4, 2008 to Jun 1, 2017 · Chicago, Il
- S••••••• I••••••••• I••• formerJan 9, 2007 to Dec 10, 2008 · Rosemont, Il
Moves
a registration end followed by a registration begin elsewhere
- H•••••• T••••••• • K•••• L•• to O••••••••• S••••••••• I•••left Jun 1, 2017, registered May 22, 2017 (-10 days) · Other · moved with a team
- S••••••• I••••••••• I••• to H•••••• T••••••• • K•••• L••left Dec 10, 2008, registered Dec 4, 2008 (-6 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address