DFX Intelligence
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Registered advisor
D•••• K• L••••
Chartered Financial Analyst
Feed of 09/14/2026
Also filed as D•••• L••••••••• K• L••••
At current firm
4 y
since Apr 12, 2022
In the industry
15 y
since May 5, 2011 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••• P••••••• independent RIA currentsince Apr 12, 2022 · Overland Park, Ks
- T••••• A••••••• S•••••••• I••• BD affiliatedJul 16, 2018 to Feb 28, 2022 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- T••••• A••••••• S•••••••• I••• to C••••••• P•••••••left Feb 28, 2022, registered Apr 12, 2022 (43 days) · Affiliated broker-dealer or bank to independent RIA
Signals
- D•••• K• L•••• left T••••• A••••••• S•••••••• I••• for C••••••• P••••••• (registered 2022-04-12)Feb 28, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address