DFX Intelligence
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Registered advisor
A•••• L••• K•••••••
Feed of 09/14/2026
At current firm
4 y
since Jul 28, 2022
In the industry
16 y
since May 1, 2010 (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
- E•••••• F•••••••• E•••••• independent RIA currentsince Jul 28, 2022 · Fairfax, Va
- C•••••• S••••• • C••• I••• national BDMar 2, 2022 to Jul 27, 2022 · Cottonwood Heights, Ut
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 25, 2016 to Jul 27, 2022 · Salt Lake City, Ut
- T• A••••••••• I••• formerOct 25, 2016 to Jul 27, 2022 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Jul 27, 2022, registered Mar 2, 2022 (-147 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to E•••••• F•••••••• E••••••left Jul 27, 2022, registered Jul 28, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 27, 2022, registered Oct 25, 2016 (-2101 days) · channel change inside one enterprise, not a move
Signals
- A•••• L••• K••••••• left C•••••• S••••• • C••• I••• for E•••••• F•••••••• E•••••• (registered 2022-07-28)Jul 27, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address