DFX Intelligence
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Registered advisor
A•••••• K••• C•••••••
R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedAlbuquerque, Nmdual registrantIAPD 5661401
Certified Financial Planner
Feed of 09/14/2026
Also filed as A•••••• W••••••••• T••••••••• K••• T••••••••• C•••••••
At current firm
0 y
since Apr 6, 2026
In the industry
16 y
since Oct 12, 2009 (earliest exam, job or registration)
Prior registered firms
3
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Apr 6, 2026 · Albuquerque, Nm
- L•• F•••••••• L•• BD affiliatedJul 21, 2021 to Apr 10, 2026 · Albuquerque, Nm
- W•••••• • R••• formerSep 15, 2010 to Jul 21, 2021 · Albuquerque, Nm
- W•••••• • R••• formerOct 14, 2009 to Jun 8, 2010 · Albuquerque, Nm
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 10, 2026, registered Apr 6, 2026 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedApr 10, 2026 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address