DFX Intelligence
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Registered advisor
D•••• K••• S•••••••
Feed of 09/15/2026
Also filed as K••• S••••••••• K••• S•••••••
At current firm
3 y
since Dec 2, 2022
In the industry
40 y
since Oct 7, 1985 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 2, 2022 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseJan 25, 2013 to Dec 7, 2022 · San Antonio, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 14, 2013 · San Antonio, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 19, 2005 to Jun 1, 2009 · San Antonio, Tx
- R•• C•••••• M••••••• L•• national BDApr 19, 2005 to Sep 1, 2005 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Dec 7, 2022, registered Dec 2, 2022 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Feb 14, 2013, registered Jan 25, 2013 (-20 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to C•••••••• G••••• M•••••• I•••left Sep 1, 2005, registered Aug 19, 2005 (-13 days) · Other
Signals
- ••• LockedDec 7, 2022 · Advisor changed firm · fact
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