DFX Intelligence
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Registered advisor
K••••• R•• S••••••
Feed of 09/15/2026
Also filed as K••••• H••••••••• R•• H•••••
At current firm
11 y
since Mar 30, 2015
In the industry
17 y
since Sep 17, 2009 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Mar 30, 2015 · Ames, Ia
- I••••• F•••••••• C••••••••• formerApr 20, 2011 to Feb 10, 2015 · Ankeny, Ia
- W•••• F•••• A••••••• wirehouseDec 11, 2009 to Apr 11, 2011 · Keokuk, Ia
Moves
a registration end followed by a registration begin elsewhere
- I••••• F•••••••• C••••••••• to A••••• A•• P••••••• S•••••••left Feb 10, 2015, registered Mar 30, 2015 (48 days) · Other
- W•••• F•••• A••••••• to I••••• F•••••••• C•••••••••left Apr 11, 2011, registered Apr 20, 2011 (9 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address