DFX Intelligence
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Registered advisor
N••• L••• K•••
Feed of 09/14/2026
Also filed as N••• L••• K•••••••• L••• C•••••••••
At current firm
6 y
since Feb 14, 2020
In the industry
15 y
since Jan 1, 2011 (earliest exam, job or registration)
Prior registered firms
1
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Feb 14, 2020 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedAug 27, 2015 to Aug 23, 2019 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Aug 23, 2019, registered Feb 14, 2020 (175 days) · Affiliated broker-dealer or bank to another
Signals
No dated event on this person.
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address