DFX Intelligence
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Registered advisor
R•••• K••••••
Feed of 09/14/2026
At current firm
2 y
since Oct 25, 2023
In the industry
12 y
since Jun 1, 2014 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Oct 25, 2023 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedMay 9, 2022 to Oct 12, 2023 · Fort Mill, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 17, 2019 to Apr 14, 2022 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••left Oct 12, 2023, registered Oct 25, 2023 (13 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Apr 14, 2022, registered May 9, 2022 (25 days) · Wirehouse to independent RIA
Signals
- ••• LockedOct 12, 2023 · Advisor changed firm · fact
- ••• LockedApr 14, 2022 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address