DFX Intelligence
RIA Intelligence
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Feed of 09/14/2026
Also filed as D••• D K••••••
At current firm
0 y
since Mar 4, 2026
In the industry
11 y
since Jul 30, 2015 (earliest exam, job or registration)
Prior registered firms
4
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Mar 4, 2026 · Dallas, Tx
- J••• M••••• S••••••••• L•• wirehouseSep 2, 2022 to May 2, 2024 · Columbus, Oh
- C•••••• S••••• • C••• I••• national BDApr 15, 2021 to Jul 29, 2022 · Westlake, Tx
- H••••••••• F•••••••• A••••••• BD affiliatedOct 12, 2016 to Mar 30, 2021 · Columbus, Oh
- J••• M••••• S••••••••• L•• wirehouseAug 5, 2015 to Oct 5, 2016 · Fort Myers, Fl
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M••••• S••••••left May 2, 2024, registered Mar 4, 2026 (671 days) · Wirehouse to wirehouse
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Jul 29, 2022, registered Sep 2, 2022 (35 days) · Affiliated broker-dealer or bank to wirehouse
- H••••••••• F•••••••• A••••••• to C•••••• S••••• • C••• I•••left Mar 30, 2021, registered Apr 15, 2021 (16 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to H••••••••• F•••••••• A•••••••left Oct 5, 2016, registered Oct 12, 2016 (7 days) · Other
Signals
- D••• K•••••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2026-03-04)May 2, 2024 · Advisor changed firm · fact
- D••• K•••••• left C•••••• S••••• • C••• I••• for J••• M••••• S••••••••• L•• (registered 2022-09-02)Jul 29, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address