DFX Intelligence
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Registered advisor
R•••• K••••••• C••••••
Feed of 09/14/2026
Also filed as R•••• K••••••• C••••••••• K••••••• D••••••••• K••••••• C••••••••• K• D••••••••• K••••••• D••••••••• C••••••••• K• C••••••
At current firm
7 y
since Oct 23, 2018
In the industry
19 y
since Oct 26, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 23, 2018 · Ft Lauderdale, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 3, 2012 to Jul 25, 2018 · Bridgewater, Nj
- U•• F•••••••• S••••••• I••• wirehouseOct 4, 2011 to Mar 19, 2012 · Princeton, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 26, 2011 · Bedminster, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 27, 2006 to Jun 1, 2009 · Bedminster, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 25, 2018, registered Oct 23, 2018 (90 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 19, 2012, registered Apr 3, 2012 (15 days) · Wirehouse to wirehouse
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Sep 26, 2011, registered Oct 4, 2011 (8 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
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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address