DFX Intelligence
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Registered advisor
L••••••• J• K•••••••••
Feed of 09/15/2026
Also filed as L••••••• K••••••••• J••••• K••••••••• J• K•••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
13 y
since Sep 1, 2013 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 31, 2025 · Rochester, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 5, 2022 to Nov 18, 2023 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseJul 8, 2021 to Oct 16, 2021 · Victor, Ny
- W•••• F•••• A••••••• wirehouseMar 15, 2019 to Jun 2, 2021 · Naples, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Nov 18, 2023, registered Mar 31, 2025 (499 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 16, 2021, registered Jan 5, 2022 (81 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Jun 2, 2021, registered Jul 8, 2021 (36 days) · Wirehouse to wirehouse
Signals
- ••• LockedNov 18, 2023 · Advisor changed firm · fact
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address