DFX Intelligence
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Registered advisor
K•••••••• A• Y•••••
Feed of 09/14/2026
Also filed as K•••• A• D••••••••• A•• D••••••••• W••••••••• D••••••••• A•• W••••••••• A•• D••••••••• A•• D••••••••• D••••••••• Y••••••••• A• Y••••••••• A•• Y•••••
At current firm
8 y
since Feb 2, 2018
In the industry
20 y
since Oct 20, 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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Feb 2, 2018 · Lone Tree, Co
- T• A••••••••• I••• formerSep 2, 2021 to Oct 14, 2022 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 13, 2006 to Jan 18, 2018 · Fort Worth, Tx
- T• A••••••••• I••• formerSep 13, 2006 to Jan 18, 2018 · Fort Worth, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 18, 2018, registered Sep 13, 2006 (-4145 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Jan 18, 2018, registered Feb 2, 2018 (15 days) · Other
Signals
- ••• LockedOct 14, 2022 · Advisor departure · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address