DFX Intelligence
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Registered advisor
K•••• F•••••• B••••
R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedFairfield, Ct dual registrantIAPD 1273712
Feed of 09/14/2026
At current firm
6 y
since Nov 14, 2019
In the industry
42 y
since Jul 5, 1984 (earliest exam, job or registration)
Prior registered firms
5
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Nov 14, 2019 · Fairfield, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 15, 2019 · Greenwich, Ct
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Greenwich, Ct
- M••••• S•••••• D• I••• unclassifiedFeb 25, 2005 to Apr 2, 2007 · Fairfield, Ct
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Feb 28, 2005 · Westport, Ct
- P••••••••• E••••• G••••• L•• unclassifiedJul 15, 1994 to Jul 1, 2003 · Westport, Ct
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 15, 2019, registered Nov 14, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• D• I•••left Feb 28, 2005, registered Feb 25, 2005 (-3 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address