DFX Intelligence
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Registered advisor
R••••• K•• C•••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as E•••• C••••••••• K• G••••••••• K•• G••••••••• K•• C••••••••• K• C••••••••• C• W••••••••• C••••• W••••••••• C••••• C•••••
At current firm
4 y
since Sep 23, 2021
In the industry
29 y
since Aug 4, 1997 (earliest exam, job or registration)
Prior registered firms
5
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
- C•••••• S••••• • C••• I••• national BD currentsince Sep 23, 2021 · Franklin, Tn
- T• A••••••••• I••• formerFeb 27, 2018 to Sep 22, 2021 · Byron, Ga
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Sep 22, 2021 · Greenville, Sc
- S•••••••• I••••••••• M••••••••• formerJan 25, 2017 to Feb 26, 2018 · Saint Louis, Mo
- S•••••••• A••••••• L•• national BDNov 14, 2012 to Jan 28, 2016 · Naples, Fl
- C•••••• S••••• • C••• I••• national BDMar 28, 2003 to Jul 30, 2012 · St. Petersburg, Fl
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 22, 2021, registered Feb 27, 2018 (-1303 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Sep 22, 2021, registered Sep 23, 2021 (1 days) · channel change inside one enterprise, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to S•••••••• I••••••••• M•••••••••left Jan 28, 2016, registered Jan 25, 2017 (363 days) · Other
- C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••left Jul 30, 2012, registered Nov 14, 2012 (107 days) · Affiliated broker-dealer or bank to another
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address