DFX Intelligence
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K•••••• L•• T•••••
As of · the IAPD feed; also filed as K•••••• T•••••
- At current firm
- 5 y
- In the industry
- 11 y
- Prior registered firms
- 1
- Signals
- 1
since Feb 17, 2021
As of · the IAPD feed; also filed as K•••••• T•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Charlotte, Nc
- B••• S••••••••• L•• formerOct 15, 2020 to Feb 17, 2021 · Columbia, Sc
Moves
a registration end followed by a registration begin elsewhere
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 18, 2026 · New state registration · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address