DFX Intelligence
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Registered advisor
R•••••• A•••••••• K•••••
Feed of 09/14/2026
Also filed as R•••••• A•••••••• K••••••••• A• K•••••
At current firm
2 y
since Aug 23, 2024
In the industry
12 y
since Aug 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
3
dated events on this person
Registration history
IAPD current and previous registrations
- S••••• W••••• A•••••••• I••• no RAUM currentsince Aug 23, 2024 · Phoenix, Az
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 16, 2023 to Jul 30, 2024 · Mission Viejo, Ca
- E•••••• A••••••• G••••• L•• BD affiliatedMay 9, 2023 to Aug 1, 2023 · Greenwood Village, Co
- A••••• A•• P••••••• S••••••• BD affiliatedJan 4, 2019 to Feb 13, 2023 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseJul 21, 2016 to May 14, 2018 · Ann Arbor, Mi
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S••••• W••••• A•••••••• I•••left Jul 30, 2024, registered Aug 23, 2024 (24 days) · Other
- E•••••• A••••••• G••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 1, 2023, registered Aug 16, 2023 (15 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to E•••••• A••••••• G••••• L••left Feb 13, 2023, registered May 9, 2023 (85 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left May 14, 2018, registered Jan 4, 2019 (235 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- R•••••• A•••••••• K••••• left F••••••• P••••••• A•• W•••••••• A••••••• for S••••• W••••• A•••••••• I••• (registered 2024-08-23)Jul 30, 2024 · Advisor changed firm · fact
- R•••••• A•••••••• K••••• left E•••••• A••••••• G••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-08-16)Aug 1, 2023 · Advisor changed firm · fact
- R•••••• A•••••••• K••••• left A••••• A•• P••••••• S••••••• for E•••••• A••••••• G••••• L•• (registered 2023-05-09)Feb 13, 2023 · 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
- No RAUM reportedderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address