DFX Intelligence
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Registered advisor
D••• N••••• K•••••••
Feed of 09/15/2026
At current firm
11 y
since Jun 24, 2015
In the industry
40 y
since Dec 6, 1985 (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
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
- R•• C•••••• M••••••• L•• national BD currentsince Jun 24, 2015 · Stamford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 20, 1987 to Jun 25, 2015 · Stamford, Ct
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Jun 25, 2015, registered Jun 24, 2015 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
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
- National broker-dealer RIAderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address