DFX Intelligence
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Registered advisor
D•••• D••••• M••••••••
Feed of 09/14/2026
At current firm
15 y
since Aug 15, 2011
In the industry
34 y
since Sep 10, 1992 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- K••••• A•••••••• I••• BD affiliated currentsince Aug 15, 2011 · Ft. Lauderdale, Fl
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 1, 2010 to Jul 26, 2011 · Cedar Rapids, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDDec 14, 1998 to Mar 30, 2005 · South Bend, In
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to K••••• A•••••••• I•••left Jul 26, 2011, registered Aug 15, 2011 (20 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V••• F•••••••• A•••••••• I•••left Mar 30, 2005, registered Nov 1, 2010 (2042 days) · Other
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
- 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