DFX Intelligence
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Registered advisor
T••••• M•••••• K•••••
Feed of 09/14/2026
Also filed as T•• K••••••••• M•••••• K••••••••• K••••••••• M• K•••••
At current firm
1 y
since Feb 3, 2025
In the industry
29 y
since May 1, 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
- P•••••••• A••••••• national BD currentsince Feb 3, 2025 · Longmont, Co
- P•••••••• A••••••• national BDJan 2, 2014 to Oct 29, 2015 · Loveland, Co
- W•••••• • R••• formerJul 26, 2012 to Dec 17, 2012 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- W•••••• • R••• to P•••••••• A•••••••left Dec 17, 2012, registered Jan 2, 2014 (381 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address