DFX Intelligence
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Registered advisor
J•••••••• K••• L•••••
Feed of 09/14/2026
Also filed as J•••••••• K• L••••••••• K• L••••••••• L•••••
At current firm
0 y
since Oct 6, 2025
In the industry
11 y
since Jul 1, 2015 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- V••••••• A•••••••• I••• BD affiliated currentsince Oct 6, 2025 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 20, 2023 to Sep 3, 2025 · Gilbert, Az
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 19, 2019 to Oct 24, 2023 · Indianapolis, In
- F•••••••• A••••••• S•••••••• L•• formerNov 30, 2016 to Jun 24, 2019 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••••••• A•••••••• I•••left Sep 3, 2025, registered Oct 6, 2025 (33 days) · Wirehouse to affiliated broker-dealer or bank
- C••••• I••••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 24, 2023, registered Nov 20, 2023 (27 days) · Affiliated broker-dealer or bank to wirehouse
- F•••••••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 24, 2019, registered Jun 19, 2019 (-5 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 3, 2025 · Advisor changed firm · fact
- ••• LockedOct 24, 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
- 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