DFX Intelligence
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K•••••• I•••••••• M•••••••••
As of · the IAPD feed; also filed as K•••••• I•••••••• W••••••••• I• W•••
- At current firm
- 11 y
- In the industry
- 17 y
- Prior registered firms
- 2
- Signals
- 0
since Apr 8, 2015
As of · the IAPD feed; also filed as K•••••• I•••••••• W••••••••• I• W•••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 8, 2015 · Charlotte, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 14, 2015 · The Villages, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 24, 2009 to Jun 1, 2009 · Gainesville, Fl
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to W•••• F•••• A•••••••left Apr 14, 2015, registered Apr 8, 2015 (-6 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• 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 signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote