DFX Intelligence
RIA Intelligence
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Registered advisor
R•• L••••
Feed of 09/14/2026
At current firm
11 y
since Dec 4, 2014
In the industry
20 y
since Sep 20, 2006 (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
S63, S65
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 Dec 4, 2014 · Ft. Lauderdale, Fl
- S••••••••• A•••••• A•••••••• I••• formerDec 2, 2013 to Dec 18, 2014 · Augusta, Ga
- O•••• F•• I••• formerJun 7, 2011 to Nov 27, 2013 · Augusta, Ga
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to K••••• A•••••••• I•••left Dec 18, 2014, registered Dec 4, 2014 (-14 days) · Other
- O•••• F•• I••• to S••••••••• A•••••• A•••••••• I•••left Nov 27, 2013, registered Dec 2, 2013 (5 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