DFX Intelligence
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Registered advisor
J•••• T••••••• K•••••••••
U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••independent RIAScottsdale, Az dual registrantIAPD 2843966
Feed of 09/15/2026
Also filed as J•• K•••••••••
At current firm
15 y
since Feb 24, 2011
In the industry
44 y
since Dec 1, 1981 (earliest exam, job or registration)
Prior registered firms
3
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
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Feb 24, 2011 · Scottsdale, Az
- Q•• F•••••••• L•• unclassifiedSep 26, 2007 to Feb 11, 2011 · Houston, Tx
- W•••••• • R••• formerDec 10, 2002 to Sep 27, 2007 · Houston, Tx
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 20, 1999 to Nov 26, 2002 · The Woodlands, Tx
Moves
a registration end followed by a registration begin elsewhere
- Q•• F•••••••• L•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Feb 11, 2011, registered Feb 24, 2011 (13 days) · Other
- W•••••• • R••• to Q•• F•••••••• L••left Sep 27, 2007, registered Sep 26, 2007 (-1 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to W•••••• • R•••left Nov 26, 2002, registered Dec 10, 2002 (14 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
- Independent wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address