DFX Intelligence
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Registered advisor
K••• C••••••••• L••••
Feed of 09/14/2026
At current firm
10 y
since Oct 28, 2015
In the industry
15 y
since Mar 16, 2011 (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
S63, S65
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••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 28, 2015 · Excelsior, Mn
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 10, 2013 to Oct 13, 2015 · Minneapolis, Mn
- U••• B•••••• I••••••••• I••• formerFeb 22, 2012 to May 16, 2013 · Saint Paul, Mn
- W•••••• • R••• formerNov 10, 2011 to Feb 28, 2012 · Plymouth, Mn
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Oct 13, 2015, registered Oct 28, 2015 (15 days) · Other
- U••• B•••••• I••••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left May 16, 2013, registered Jun 10, 2013 (25 days) · Other
- W•••••• • R••• to U••• B•••••• I••••••••• I•••left Feb 28, 2012, registered Feb 22, 2012 (-6 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address