DFX Intelligence
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Registered advisor
P••••• M•••••• F••••
Feed of 09/14/2026
At current firm
9 y
since Feb 10, 2017
In the industry
23 y
since Oct 1, 2002 (earliest exam, job or registration)
Prior registered firms
2
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 10, 2017 · Knoxville, Tn
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Dec 6, 2016 · Knoxville, Tn
- M••••• K••••• • C••••••• L•• formerFeb 9, 2004 to Feb 13, 2013 · Knoxville, Tn
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 6, 2016, registered Feb 10, 2017 (66 days) · Other · moved with a team
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address