DFX Intelligence
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Registered advisor
K•••• C•••••• D•••••••
C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedNorth Potomac, Md dual registrantIAPD 2800219
Feed of 09/15/2026
Also filed as K•••• C• D••••••••• C•••••• D••••••••• D•••••••
At current firm
1 y
since Aug 1, 2025
In the industry
23 y
since Jan 9, 2003 (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
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 Aug 1, 2025 · North Potomac, Md
- P•• W••••• M••••••••• BD affiliatedDec 20, 2006 to May 7, 2008 · Bethesda, Md
- A••••••••• F•••••••• S•••••••• L•• national BDOct 27, 2004 to Jan 10, 2007 · Rockville, Md
- M•• S••••••••• I••• unclassifiedJul 9, 2004 to Sep 17, 2004 · Buffalo, Ny
- R•••• S••••••••• I••• unclassifiedJan 9, 2003 to Feb 25, 2003 · Washington , Dc
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• M••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 7, 2008, registered Aug 1, 2025 (6295 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•• W••••• M•••••••••left Jan 10, 2007, registered Dec 20, 2006 (-21 days) · Other
- M•• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 17, 2004, registered Oct 27, 2004 (40 days) · Other
- R•••• S••••••••• I••• to M•• S••••••••• I•••left Feb 25, 2003, registered Jul 9, 2004 (500 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address