DFX Intelligence
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Registered advisor
A••••• K• Y•••••
Feed of 09/14/2026
At current firm
8 y
since Dec 15, 2017
In the industry
32 y
since Jul 28, 1994 (earliest exam, job or registration)
Prior registered firms
3
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
- W•••• F•••• A••••••• wirehouse currentsince Dec 15, 2017 · Sugar Land, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 3, 2007 to Dec 19, 2017 · Sugar Land, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jan 7, 2008 · New York, Ny
- C••••••• I••••••••• S••••••• unclassifiedNov 12, 2002 to May 29, 2007 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Dec 19, 2017, registered Dec 15, 2017 (-4 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 7, 2008, registered Dec 3, 2007 (-35 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address