DFX Intelligence
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Registered advisor
S••• M•••••• K••••••
Feed of 09/14/2026
At current firm
3 y
since Aug 11, 2023
In the industry
29 y
since Apr 8, 1997 (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
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
- O•••• I••••••••• I••• BD affiliated currentsince Aug 11, 2023 · New York, Ny
- W•••• F•••• A••••••• wirehouseApr 17, 2013 to Dec 1, 2016 · Brooklyn, Ny
- C•••• I••••••••• S••••••• C•••• formerFeb 7, 2007 to Mar 8, 2011 · Brooklyn, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to O•••• I••••••••• I•••left Dec 1, 2016, registered Aug 11, 2023 (2444 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Mar 8, 2011, registered Apr 17, 2013 (771 days) · Other
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address