DFX Intelligence
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Registered advisor
K•••• M•••• N••••••
Feed of 09/14/2026
Also filed as K•••• M• K••••••••• M•••• K•••••
At current firm
3 y
since Jun 29, 2023
In the industry
24 y
since Dec 28, 2001 (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
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••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Worcester, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 30, 2020 to Jun 9, 2021 · Worcester, Ma
- C••••••• S••••••••• I••• BD affiliatedAug 3, 2017 to Nov 27, 2020 · Maynard, Ma
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJun 20, 2016 to Aug 3, 2017 · Millbury, Ma
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 31, 2014 to Jun 6, 2016 · Windsor, Ct
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 9, 2021, registered Jun 29, 2023 (750 days) · corporate re-registration, not a move
- C••••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••left Nov 27, 2020, registered Nov 30, 2020 (3 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••• S••••••••• I•••left Aug 3, 2017, registered Aug 3, 2017 (0 days) · Other
- V••• F•••••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 6, 2016, registered Jun 20, 2016 (14 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address