DFX Intelligence
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L••••• M• K••••••
As of · the IAPD feed; also filed as L••••• K••••••
- At current firm
- 2 y
- In the industry
- 14 y
- Prior registered firms
- 1
- Signals
- 1
since Jan 25, 2024
As of · the IAPD feed; also filed as L••••• K••••••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 25, 2024 · Indianapolis, In
- E•••••••• A•••••••• L•• national BDSep 5, 2023 to Jan 10, 2024 · Carmel, In
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to C•••••• S••••• • C••• I•••left Jan 10, 2024, registered Jan 25, 2024 (15 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedJan 10, 2024 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address