DFX Intelligence
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Registered advisor
L•••••• K•••••
Feed of 09/15/2026
Also filed as L•••••• P••••••••• P•••••
At current firm
3 y
since Apr 6, 2023
In the industry
19 y
since Aug 29, 2007 (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, 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
- W••••••••• R••••••••• A••••••• institutional currentsince Apr 6, 2023 · Bethesda, Md
- W••••••••• R••••••••• A••••••• institutionalMay 21, 2022 to Mar 28, 2023 · Aliso Viejo, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 30, 2007 to Dec 22, 2008 · Wilmington, Nc
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••••••• R••••••••• A•••••••left Dec 22, 2008, registered May 21, 2022 (4898 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
- Institutional managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address