DFX Intelligence
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Registered advisor
D•••• M•••••• M••••••
Chartered Financial Consultant
Feed of 09/15/2026
Also filed as Dave M••••••
At current firm
1 y
since Jul 1, 2025
In the industry
38 y
since Jul 27, 1988 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 1, 2025 · Williamsville, Ny
- L•• F•••••••• L•• BD affiliatedAug 3, 2021 to Jul 8, 2025 · Williamsville, Ny
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••left Jul 8, 2025, registered Jul 1, 2025 (-7 days) · Affiliated broker-dealer or bank to another
Signals
- D•••• M•••••• M•••••• left L•• F•••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2025-07-01)Jul 8, 2025 · Advisor changed firm · fact
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
- 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