DFX Intelligence
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Registered advisor
K•••• C•••• S•••
Feed of 09/15/2026
At current firm
16 y
since May 11, 2010
In the industry
37 y
since Dec 8, 1988 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O••••••••• • C•• I••• BD affiliated currentsince May 11, 2010 · Los Angeles, Ca
- C•••••••• P••••••• L•• unclassifiedSep 10, 2007 to Mar 3, 2009 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 3, 2002 to Jun 9, 2007 · Los Angeles, Ca
- C••• W•••• M•••••• C•••• unclassifiedJul 8, 1997 to Sep 6, 2002 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• P••••••• L•• to O••••••••• • C•• I•••left Mar 3, 2009, registered May 11, 2010 (434 days) · Other
- C•••••••• G••••• M•••••• I••• to C•••••••• P••••••• L••left Jun 9, 2007, registered Sep 10, 2007 (93 days) · Other
- C••• W•••• M•••••• C•••• to C•••••••• G••••• M•••••• I•••left Sep 6, 2002, registered Sep 3, 2002 (-3 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address