DFX Intelligence
RIA Intelligence
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Registered advisor
D••••• K• L••••
Feed of 09/14/2026
Also filed as D••••• K• L••••
At current firm
0 y
since Dec 2, 2025
In the industry
22 y
since Jul 1, 2004 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• A•••••••• I••• state registered currentsince Dec 2, 2025 · Alpharetta, Ga
- S•••••• A•••••••• I••• state registeredJul 12, 2019 to Dec 31, 2024 · Alpharetta, Ga
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedNov 17, 2015 to Dec 8, 2017 · Alpharetta, Ga
- C•••• W••••• M••••••••• I••• unclassifiedMar 6, 2015 to Sep 15, 2015 · Alpharetta, Ga
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S•••••• A•••••••• I•••left Dec 8, 2017, registered Jul 12, 2019 (581 days) · Other
- C•••• W••••• M••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 15, 2015, registered Nov 17, 2015 (63 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address