DFX Intelligence
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Registered advisor
A•••••• A•••• K••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as A•••••• A•••• K••••••••• A••••••••• E••• A••••
At current firm
7 y
since Oct 4, 2018
In the industry
16 y
since Aug 1, 2010 (earliest exam, job or registration)
Prior registered firms
1
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
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Oct 4, 2018 · Stamford, Ct
- W•••• F•••• A••••••• wirehouseOct 21, 2015 to Oct 9, 2018 · Mclean, Va
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• P••••••• I••••••••• A•••••••• L••left Oct 9, 2018, registered Oct 4, 2018 (-5 days) · Wirehouse to independent RIA · moved with a team
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address