DFX Intelligence
Part of this page could not be read just now: who else to call. Those sections are not empty, they were not read. This is a fault on our side, not an answer about this record; reload the page to try again.
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.
K••• T••••• H••••••
As of · the IAPD feed; also filed as K••• T••••• H••••••••• T• H••••••
- At current firm
- 1 y
- In the industry
- 10 y
- Prior registered firms
- 2
- Signals
- 1
since Aug 4, 2025
As of · the IAPD feed; also filed as K••• T••••• H••••••••• T• H••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Recruiter briefHow to read thisEvery line is a fact from a public record, or a measurement DFX made on the registration history of every advisor (2023 to 2025 cohorts), read for this advisor’s own firm where the sample allows. A move indicator means advisors with that fact moved more often; a retention indicator means they moved less. Neither says what this person will do. Recruiting value and movement evidence are kept apart on purpose.
facts first, then what DFX measured about them; never a statement of intent
- ••• Locked
Recruiting value
- Practice attractivenessnoneno observable scale indicator beyond registration
- Team depthnone0 of the 1 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
- Entrepreneurial profilenoneDetails are shown to subscribers.
- Real estate activitynoneDetails are shown to subscribers.
- Contactabilityweakno contact route found
Movement evidence
- Movement signalnone0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Highly elevated band. Early-career bands mostly reflect trainee churn.
- Recent change activitynoneDetails are shown to subscribers.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitysome3 prior firms, median stay 0.4 years.
Career
- 1.8 years in the industry
- 1.1 years at the current firm
- 3 prior registered firms; median stay 0.4 years
- Path: brokerage advisory to national broker-dealer RIA
Source: SEC IAPD per-person record
Licensing and credentials
- Registered in 41 states (firm median 2)
- Exams: SIE, Series 66, Series 7TO
- Registered as a broker as well as an adviser
Source: IAPD individual feed and the per-person IAPD record
Around this advisor
- 2 of about 58 in the office left in the last 180 days
Regulatory record
Shown to subscribers, with the official record linked.
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Aug 4, 2025 · Century City, Ca
- S•••••••• A••••••• L•• brokerage advisoryMar 31, 2025 to May 20, 2025 · Tukwila, Wa
- F••••••• P••••••• A•• W•••••••• A••••••• brokerage advisoryNov 6, 2024 to Mar 31, 2025 · Tukwila, Wa
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to R•• C•••••• M••••••• L••left May 20, 2025, registered Aug 4, 2025 (76 days) · Affiliated broker-dealer or bank to another · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedMay 20, 2025 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote