DFX Intelligence
RIA Intelligence
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Registered advisor
K•••• P••• L•••••
Feed of 09/14/2026
At current firm
8 y
since Dec 13, 2017
In the industry
18 y
since Mar 7, 2008 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- B•••••• L••• A••••••• S•••••••• I••• BD affiliated currentsince Dec 13, 2017 · Chicago, Il
- C•••••••• F•••••••• G•••• A••••••• formerNov 22, 2010 to Apr 30, 2015 · Chesterfield, Mo
- I••••••••• P••••••••• I••• formerOct 23, 2009 to Aug 19, 2010 · San Antonio, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDMar 11, 2008 to Oct 28, 2009 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• F•••••••• G•••• A••••••• to B•••••• L••• A••••••• S•••••••• I•••left Apr 30, 2015, registered Dec 13, 2017 (958 days) · Other
- I••••••••• P••••••••• I••• to C•••••••• F•••••••• G•••• A•••••••left Aug 19, 2010, registered Nov 22, 2010 (95 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to I••••••••• P••••••••• I•••left Oct 28, 2009, registered Oct 23, 2009 (-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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address