DFX Intelligence
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Registered advisor
F••••••• L•••• K••••
Feed of 09/14/2026
Also filed as F••••••• K••••••••• L• K••••••••• K••••••••• K••••
At current firm
2 y
since Jun 4, 2024
In the industry
17 y
since Nov 26, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 4, 2024 · Los Gatos, Ca
- C•••••• S••••• • C••• I••• national BDJan 26, 2022 to Jan 10, 2024 · Campbell, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 28, 2010 to Sep 7, 2023 · Campbell, Ca
- T• A••••••••• I••• formerJul 28, 2010 to Oct 14, 2022 · Campbell, Ca
- R•• C•••••• M••••••• L•• national BDDec 1, 2008 to Jan 28, 2010 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Jan 10, 2024, registered Jun 4, 2024 (146 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jul 28, 2010 (-4461 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to T• A••••••••• I•••left Jan 28, 2010, registered Jul 28, 2010 (181 days) · Affiliated broker-dealer or bank to a newly registered adviser
Signals
- ••• LockedJan 10, 2024 · 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address