DFX Intelligence
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Registered advisor
R••• M••••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
7 y
since Apr 24, 2019
In the industry
19 y
since May 5, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, 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
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 24, 2019 · Austin, Tx
- E••••• J•••• national BDJan 11, 2019 to Apr 10, 2019 · Denver, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 5, 2011 to Jul 17, 2012 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to K••••• A••••••• S•••••••• L••left Apr 10, 2019, registered Apr 24, 2019 (14 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Jul 17, 2012, registered Jan 11, 2019 (2369 days) · Wirehouse to affiliated broker-dealer or bank
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address