DFX Intelligence
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Registered advisor
K••••••• S•• S•••••
Feed of 09/15/2026
Also filed as K••••••• S•• T••••••••• S•• T••••••••• S•• S••••••••• S•• S•••••
At current firm
5 y
since Jul 16, 2021
In the industry
32 y
since Sep 16, 1994 (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, 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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 16, 2021 · Bradenton, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Aug 27, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerJan 26, 2010 to Jan 2, 2018 · Bradenton, Fl
- S••••••• I••••••••• S•••••••• I••• formerNov 24, 2008 to Jan 21, 2010 · Osprey, Fl
Moves
a registration end followed by a registration begin elsewhere
- T••••• A••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Aug 27, 2021, registered Jul 16, 2021 (-42 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• S•••••••• I••• to B••• I••••••••• S•••••••• I•••left Jan 21, 2010, registered Jan 26, 2010 (5 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address