DFX Intelligence
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Registered advisor
K•••••• L••••••• C••••••••
Feed of 09/14/2026
Also filed as L•••• C••••••••• L•••• C••••••••
At current firm
14 y
since May 31, 2012
In the industry
46 y
since Nov 21, 1979 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 May 31, 2012 · Midlothian, Va
- C•••••••• C•••••• unclassifiedMay 11, 1998 to May 31, 2012 · Colonial Heights, Va
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• C•••••• to L•• F•••••••• L••left May 31, 2012, registered May 31, 2012 (0 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
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address