DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
K••• S••••••• F•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as K••• S•••••••
At current firm
4 y
since Sep 30, 2021
In the industry
13 y
since Mar 1, 2013 (earliest exam, job or registration)
Prior registered firms
2
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
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Sep 30, 2021 · Roanoke, Va
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Oct 1, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerAug 26, 2019 to Feb 17, 2021 · Roanoke, Va
Moves
a registration end followed by a registration begin elsewhere
- T••••• A••••••• S•••••••• I••• to J••••• M••••••••• S•••• L••left Oct 1, 2021, registered Sep 30, 2021 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- 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
No dated event on this person.
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address