DFX Intelligence
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Registered advisor
D•••• R••• K•••••••••
Feed of 09/14/2026
Also filed as D••• K•••••••••
At current firm
13 y
since Jun 20, 2013
In the industry
32 y
since Apr 7, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 20, 2013 · New Albany, In
- R•••••• J•••• • A••••••••• I••• national BDFeb 23, 2012 to Jun 20, 2013 · Louisville, Ky
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 28, 2011 to Feb 22, 2012 · New Albany, In
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Jul 13, 2011 · Floyds Knobs, In
- N•••••• I••••••••• I••• unclassifiedJul 2, 2002 to Nov 13, 2009 · New Albany, In
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to J••• M••••• S••••••••• L••left Jun 20, 2013, registered Jun 20, 2013 (0 days) · Affiliated broker-dealer or bank to wirehouse
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••left Feb 22, 2012, registered Feb 23, 2012 (1 days) · Other
- P•• W••••• M••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 13, 2011, registered Jul 28, 2011 (15 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
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