DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Registered advisor

R•••• K•••• A•••••

C••••••••• F•••••••• N••••••national BDWaltham, Ma dual registrantIAPD 2719384

Feed of 09/15/2026

Also filed as R•••• K•••• A•••••

At current firm

1 y

since Apr 2, 2025

In the industry

30 y

since Mar 25, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Apr 2, 2025 · Waltham, Ma
O•••• W•••••• I••• BD affiliated
Oct 11, 2024 to Apr 2, 2025 · Honeoye Falls, Ny
A••••••• P••••••••• A•••••••• I•• former
Nov 15, 2010 to Oct 11, 2024 · Holbrook, Ny
E•••••••• A•••••••• L•• national BD
Jun 19, 2007 to Dec 16, 2010 · Honeoye, Ny

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to C••••••••• F•••••••• N••••••
left Apr 2, 2025, registered Apr 2, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••
left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
E•••••••• A•••••••• L•• to A••••••• P••••••••• A•••••••• I••
left Dec 16, 2010, registered Nov 15, 2010 (-31 days) · Other

Signals

R•••• K•••• A••••• left O•••• W•••••• I••• for C••••••••• F•••••••• N•••••• (registered 2025-04-02)
Apr 2, 2025 · Advisor changed firm · fact

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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address