DFX Intelligence
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Registered advisor
K••• A•••••• M••••
Feed of 09/14/2026
At current firm
2 y
since Dec 11, 2023
In the industry
30 y
since Jul 12, 1996 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• A••••••• S•••••••• L•• BD affiliated currentsince Dec 11, 2023 · Yakima, Wa
- M•••• W••••• M••••••••• L••••• unclassifiedMar 21, 2007 to Mar 12, 2024 · Seattle, Wa
- N••••••••• M••••• W••••• M••••••••• C•••••• unclassifiedMar 24, 2006 to Mar 16, 2007 · Milwaukee, Wi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMNov 4, 2005 to Mar 16, 2007 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- M•••• W••••• M••••••••• L••••• to O•••• A••••••• S•••••••• L••left Mar 12, 2024, registered Dec 11, 2023 (-92 days) · Other · moved with a team
- N••••••••• M••••• W••••• M••••••••• C•••••• to M•••• W••••• M••••••••• L•••••left Mar 16, 2007, registered Mar 21, 2007 (5 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to N••••••••• M••••• W••••• M••••••••• C••••••left Mar 16, 2007, registered Mar 24, 2006 (-357 days) · Other
Signals
- ••• LockedMar 12, 2024 · 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
- 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