DFX Intelligence
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Registered advisor
K•••• L••• D•••
Feed of 09/14/2026
At current firm
18 y
since Jan 22, 2008
In the industry
41 y
since Dec 27, 1984 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 22, 2008 · Corvallis, Or
- F•••••••• A•••••••• A••••••• S••••••• formerApr 20, 2010 to Aug 5, 2020 · Olympia, Wa
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 23, 2003 to Jan 24, 2008 · Corvallis, Or
Moves
a registration end followed by a registration begin elsewhere
- F•••••••• A•••••••• A••••••• S••••••• to no registered destinationleft Aug 5, 2020 · Departure, no registered destination
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Jan 24, 2008, registered Jan 22, 2008 (-2 days) · Other
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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address