DFX Intelligence
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Registered advisor
S•••••• S••••••• K••
Feed of 09/15/2026
At current firm
19 y
since Jul 5, 2007
In the industry
27 y
since Jun 9, 1999 (earliest exam, job or registration)
Prior registered firms
2
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
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jul 5, 2007 · Walnut Creek, Ca
- M•• F•••••••• S•••••••• I••• formerOct 5, 2006 to Mar 27, 2007 · Fremont, Ca
- P•••• S••••••••• L•• no RAUMJun 10, 2002 to Apr 26, 2005 · San Jose , Ca
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 27, 2007, registered Jul 5, 2007 (100 days) · Other
- P•••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Apr 26, 2005, registered Oct 5, 2006 (527 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address