DFX Intelligence
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Registered advisor
S•••• M•••• S••••••••
Feed of 09/15/2026
Also filed as S•••• M•••• K••••••••• M•••• K••••
At current firm
3 y
since Jun 29, 2023
In the industry
38 y
since Dec 18, 1987 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Vienna, Va
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 10, 2006 to Jun 9, 2021 · Vienna, Va
- W•••••• • R••• formerMay 23, 1997 to Jul 27, 2006 · Falls Church, Va
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 9, 2021, registered Jun 29, 2023 (750 days) · corporate re-registration, not a move
- W•••••• • R••• to V••• F•••••••• A•••••••• I•••left Jul 27, 2006, registered Nov 10, 2006 (106 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address