DFX Intelligence
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Registered advisor
C•••••••• K••• S••••• F•••
Feed of 09/14/2026
Also filed as C•••••••• K••• S••••• F••••••••• K• F••••••••• K••• S••••• F••••••••• K• F••••••••• K••• F•••
At current firm
1 y
since Jan 30, 2025
In the industry
34 y
since Jun 2, 1992 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Jan 30, 2025 · Holmdel, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 7, 2011 to Dec 10, 2018 · Jersey City, Nj
- T• A••••••••• I••• formerFeb 7, 2011 to Jan 6, 2021 · San Diego, Ca
- C•••••• S••••• • C••• I••• national BDOct 7, 2008 to Jan 31, 2011 · New York City, Ny
- P•• W••••• M••••••••• BD affiliatedFeb 27, 2008 to Aug 28, 2008 · Hoboken, Nj
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to L•• E••••••••• L••left Jan 6, 2021, registered Jan 30, 2025 (1485 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 10, 2018, registered Feb 7, 2011 (-2863 days) · channel change inside one enterprise, not a move · moved with a team
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 31, 2011, registered Feb 7, 2011 (7 days) · Other
- P•• W••••• M••••••••• to C•••••• S••••• • C••• I•••left Aug 28, 2008, registered Oct 7, 2008 (40 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address