DFX Intelligence
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Registered advisor
K••• F••••••
Feed of 09/14/2026
Also filed as K••• J•••• F••••••
At current firm
0 y
since Mar 2, 2026
In the industry
11 y
since Jun 1, 2015 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 2, 2026 · Fairfield, Ia
- L•• F•••••••• L•• BD affiliatedJul 9, 2024 to Apr 30, 2025 · Fairfield, Ia
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedApr 1, 2019 to May 29, 2024 · Fairfield, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 20, 2016 to Oct 16, 2018 · Windsor, Ct
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJun 2, 2015 to Oct 13, 2015 · Fairfield, Ia
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to M•• I•••••••• S•••••••• L••left Apr 30, 2025, registered Mar 2, 2026 (306 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left May 29, 2024, registered Jul 9, 2024 (41 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 16, 2018, registered Apr 1, 2019 (167 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to V••• F•••••••• A•••••••• I•••left Oct 13, 2015, registered Apr 20, 2016 (190 days) · Other
Signals
- ••• LockedApr 30, 2025 · Advisor changed firm · fact
- ••• LockedMay 29, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address