DFX Intelligence
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Registered advisor
C•••••• M•••••••• K•••
Feed of 09/14/2026
Also filed as C•••••• M•••••••• ••• K••••••••• M•••••••• K••••••••• K•••
At current firm
13 y
since Jan 17, 2013
In the industry
30 y
since Jan 22, 1996 (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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 17, 2013 · Richmond, Va
- L•• F•••••••• L•• BD affiliatedJul 12, 2011 to Jan 7, 2013 · Denver, Co
- A••••••• F•••••••• A•••••••• L•• BD affiliatedApr 6, 2009 to Jul 14, 2011 · Longmont, Co
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedAug 3, 2006 to Mar 12, 2007 · Lone Tree, Co
- S•••••••• A••••••• L•• national BDJan 6, 2004 to Mar 12, 2007 · Lone Tree, Co
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jan 7, 2013, registered Jan 17, 2013 (10 days) · Other
- A••••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••left Jul 14, 2011, registered Jul 12, 2011 (-2 days) · Other
- S•••••••• A••••••• L•• to F••••••• P••••••• T•••• C••••••• F••left Mar 12, 2007, registered Aug 3, 2006 (-221 days) · Other
- F••••••• P••••••• T•••• C••••••• F•• to A••••••• F•••••••• A•••••••• L••left Mar 12, 2007, registered Apr 6, 2009 (756 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address