DFX Intelligence
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Registered advisor
E•• M•••••• D•••
C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedWinter Garden, Fldual registrantIAPD 6309000
Feed of 09/14/2026
Also filed as E•• M•••••• L••••••••• M• D•••
At current firm
2 y
since May 17, 2024
In the industry
12 y
since Feb 1, 2014 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 17, 2024 · Winter Garden, Fl
- K•• W••••• A••••••• L•• formerJan 31, 2022 to Dec 31, 2023 · Hazlet, Nj
- K•• W••••• A••••••• L•• formerJan 31, 2022 to May 20, 2024 · Hazlet, Nj
- W•••• F•••• A••••••• wirehouseJun 2, 2014 to Jul 12, 2021 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- K•• W••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 20, 2024, registered May 17, 2024 (-3 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to K•• W••••• A••••••• L••left Jul 12, 2021, registered Jan 31, 2022 (203 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
Signals
- ••• LockedMay 20, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address