DFX Intelligence
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Registered advisor
D•••• M•••• S••••
Feed of 09/14/2026
Also filed as D•••• M•••• K•••••••••
At current firm
22 y
since Aug 6, 2004
In the industry
37 y
since Jul 7, 1989 (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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Aug 6, 2004 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Aug 16, 2004 · New York, Ny
- P••••••• L•• unclassifiedJan 4, 1990 to Jan 17, 2003 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••left Aug 16, 2004, registered Aug 6, 2004 (-10 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address