DFX Intelligence
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Registered advisor
K••••• L•• A••••
Feed of 09/14/2026
Also filed as K••••• L• S•••••
At current firm
1 y
since Jun 5, 2025
In the industry
21 y
since Jan 1, 2005 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jun 5, 2025 · Traverse City, Mi
- W•••••• I••••••••• S••••••••• formerAug 21, 2017 to Jun 5, 2025 · Traverse City, Mi
- F•••••••• W••• G•••• formerFeb 22, 2016 to Aug 21, 2017 · Traverse City, Mi
Moves
a registration end followed by a registration begin elsewhere
- W•••••• I••••••••• S••••••••• to L•• F•••••••• L••left Jun 5, 2025, registered Jun 5, 2025 (0 days) · corporate re-registration, not a move
- F•••••••• W••• G•••• to W•••••• I••••••••• S•••••••••left Aug 21, 2017, registered Aug 21, 2017 (0 days) · corporate re-registration, not a move
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
- 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