DFX Intelligence
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Registered advisor
K•••• W••• C••••••••
Feed of 09/15/2026
At current firm
20 y
since Aug 11, 2006
In the industry
33 y
since Dec 3, 1992 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- C••••••••• F•••••••• N•••••• national BD currentsince Aug 11, 2006 · Overland Park, Ks
- S••••• W••••• A•••••••• L•• unclassifiedAug 29, 2006 to Mar 28, 2011 · Overland Park, Ks
- L••••• F•••••••• G••••• I••• unclassifiedNov 1, 1999 to Aug 8, 2006 · Overland Park, Ks
- M•• I•••••••• S•••••••• L•• BD affiliatedDec 16, 1997 to Aug 14, 2006 · Overland Park, Ks
Moves
a registration end followed by a registration begin elsewhere
- S••••• W••••• A•••••••• L•• to no registered destinationleft Mar 28, 2011 · Departure, no registered destination
- M•• I•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Aug 14, 2006, registered Aug 11, 2006 (-3 days) · Other
- L••••• F•••••••• G••••• I••• to C••••••••• F•••••••• N••••••left Aug 8, 2006, registered Aug 11, 2006 (3 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address