DFX Intelligence
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Registered advisor
A•••• K••• L••••••••
Feed of 09/14/2026
At current firm
17 y
since May 22, 2009
In the industry
18 y
since Jun 19, 2008 (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
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
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince May 22, 2009 · Indianapolis, In
- E••••• J•••• national BDSep 15, 2008 to Apr 16, 2009 · Indianapolis, In
- H••••••••• F•••••••• A••••••• BD affiliatedJul 7, 2008 to Sep 9, 2008 · Fishers, In
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to T••••••• I••••••••• M••••••••• I•••left Apr 16, 2009, registered May 22, 2009 (36 days) · Other
- H••••••••• F•••••••• A••••••• to E••••• J••••left Sep 9, 2008, registered Sep 15, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address