DFX Intelligence

RIA Intelligence

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Registered advisor

C••• R••• K•••••••••

A••••••••• F•••••••• S•••••••• L••national BDArgyle, Tx dual registrantIAPD 5480848

Certified Financial Planner

Feed of 09/14/2026

Also filed as C••• K•••••••••

At current firm

2 y

since Feb 23, 2024

In the industry

18 y

since Mar 27, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since Feb 23, 2024 · Mont Belvieu, Tx
V••••••• A•••••••• I••• BD affiliated
Aug 22, 2022 to Feb 27, 2024 · Plano, Tx
C•••••• S••••• • C••• I••• national BD
May 23, 2020 to Aug 9, 2022 · Westlake, Tx
U••• I••••••••• S••••••• C•••••• no RAUM
Jan 8, 2018 to May 24, 2020 · San Antonio, Tx
U••• F•••••••• P••••••• S••••••• former
May 1, 2014 to Jan 8, 2018 · Addison, Tx
E••••• J•••• national BD
Apr 5, 2012 to Mar 27, 2014 · Tempe, Az
E••••• J•••• national BD
Mar 31, 2008 to Oct 12, 2010 · Plano, Tx

Moves

a registration end followed by a registration begin elsewhere

V••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Feb 27, 2024, registered Feb 23, 2024 (-4 days) · Affiliated broker-dealer or bank to another
C•••••• S••••• • C••• I••• to V••••••• A•••••••• I•••
left Aug 9, 2022, registered Aug 22, 2022 (13 days) · Affiliated broker-dealer or bank to another · moved with a team
U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••
left May 24, 2020, registered May 23, 2020 (-1 days) · corporate re-registration, not a move
U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••
left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
E••••• J•••• to U••• F•••••••• P••••••• S•••••••
left Mar 27, 2014, registered May 1, 2014 (35 days) · Other

Signals

C••• R••• K••••••••• left V••••••• A•••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-02-23)
Feb 27, 2024 · Advisor changed firm · fact
C••• R••• K••••••••• left C•••••• S••••• • C••• I••• for V••••••• A•••••••• I••• (registered 2022-08-22)
Aug 9, 2022 · Advisor changed firm · fact

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: National broker-dealer RIAderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address