DFX Intelligence
RIA Intelligence
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Registered advisor
K••• E••••• S•••
Feed of 09/14/2026
At current firm
7 y
since Jan 8, 2019
In the industry
15 y
since Apr 30, 2011 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
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•••••••• A•••••••• L•• BD affiliated currentsince Jan 8, 2019 · Indianapolis, In
- P•••• S••••••••• L•• no RAUMAug 4, 2015 to Jan 15, 2019 · Indianapolis, In
- S••••••• I••••••••• I••• formerAug 24, 2012 to Jul 9, 2015 · Indianapolis, In
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 17, 2011 to Jun 26, 2012 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to A••••••• F•••••••• A•••••••• L••left Jan 15, 2019, registered Jan 8, 2019 (-7 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• I••• to P•••• S••••••••• L••left Jul 9, 2015, registered Aug 4, 2015 (26 days) · Other
- M•• I•••••••• S•••••••• L•• to S••••••• I••••••••• I•••left Jun 26, 2012, registered Aug 24, 2012 (59 days) · Other
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address