DFX Intelligence
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Registered advisor
C•••••• R•• L•••
Feed of 09/15/2026
Also filed as C•••••• R•• H•••
At current firm
1 y
since May 12, 2025
In the industry
16 y
since Sep 2, 2010 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince May 12, 2025 · Hudson, Wi
- A••••••••• F•••••••• S•••••••• L•• national BDMay 21, 2020 to May 16, 2025 · Hudson, Wi
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left May 16, 2025, registered May 12, 2025 (-4 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedMay 16, 2025 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
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