DFX Intelligence
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Registered advisor
M••••••• L•••• K•••
Feed of 09/14/2026
Also filed as M• L•••• K•••
At current firm
2 y
since Jun 14, 2024
In the industry
20 y
since Aug 28, 2006 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Beloit, Wi
- S••••••••• A•••••• A•••••••• I••• formerMar 22, 2023 to Jun 14, 2024 · Beloit, Wi
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Apr 3, 2023 · Beloit, Wi
- C••• B•••••••• S•••••••• I••• formerOct 4, 2012 to May 18, 2022 · Beloit, Wi
- E••••• J•••• national BDNov 9, 2009 to Oct 2, 2012 · Janesville, Wi
- I••••• F•••••••• C••••••••• formerNov 2, 2006 to Nov 5, 2009 · Janesville, Wi
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Apr 3, 2023, registered Mar 22, 2023 (-12 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- E••••• J•••• to C••• B•••••••• S•••••••• I•••left Oct 2, 2012, registered Oct 4, 2012 (2 days) · Other
- I••••• F•••••••• C••••••••• to E••••• J••••left Nov 5, 2009, registered Nov 9, 2009 (4 days) · Other
Signals
- ••• LockedApr 3, 2023 · Advisor changed firm · 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
- 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