DFX Intelligence
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Registered advisor
L•••••• S•••••••
Feed of 09/14/2026
Also filed as L•••••• K• Z••••••••• S••••••••• K• S•••••••
At current firm
1 y
since May 14, 2025
In the industry
12 y
since Jul 1, 2014 (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
- C•••••• S••••• • C••• I••• national BD currentsince May 14, 2025 · Clearwater, Fl
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Apr 10, 2025 · Boston, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 10, 2023 to Mar 31, 2025 · Clearwater, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 18, 2018 to Feb 21, 2023 · The Woodlands, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 21, 2016 to Apr 27, 2018 · The Woodlands, Tx
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Apr 10, 2025, registered May 14, 2025 (34 days) · Affiliated broker-dealer or bank to another · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 21, 2023, registered Apr 10, 2023 (48 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedApr 10, 2025 · Advisor changed firm · fact
- ••• LockedFeb 21, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address