DFX Intelligence
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Registered advisor
K•••••• A••• B•••••
Feed of 09/14/2026
Also filed as K•••••• A• W••••••••• A••• W••••
At current firm
5 y
since Mar 29, 2021
In the industry
37 y
since Feb 8, 1989 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- R•• C•••••• M••••••• L•• national BD currentsince Mar 29, 2021 · Madison, Wi
- C•••••• S••••• • C••• I••• national BDJun 18, 2019 to Sep 30, 2020 · Brookfield, Wi
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Oct 2, 2018 · Madison, Wi
- I••••• F•••••••• C••••••••• formerMar 4, 2013 to Feb 16, 2018 · Racine, Wi
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 16, 2012 · Madison, Wi
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Madison, Wi
- M••••• S•••••• D• I••• unclassifiedJun 13, 2006 to Apr 2, 2007 · Madison, Wi
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to R•• C•••••• M••••••• L••left Sep 30, 2020, registered Mar 29, 2021 (180 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C•••••• S••••• • C••• I•••left Oct 2, 2018, registered Jun 18, 2019 (259 days) · RIA to affiliated broker-dealer or bank
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 16, 2018, registered Feb 14, 2018 (-2 days) · corporate re-registration, not a move
- M••••• S•••••• to I••••• F•••••••• C•••••••••left Feb 16, 2012, registered Mar 4, 2013 (382 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (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
- National broker-dealer RIAderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address