DFX Intelligence
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Feed of 09/14/2026
Also filed as A••• A• K•••••••• A••••• K•••
At current firm
2 y
since Feb 28, 2024
In the industry
27 y
since Dec 3, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Feb 28, 2024 · Plattsburgh, Ny
- L•• F•••••••• L•• BD affiliatedMay 7, 2014 to Mar 13, 2024 · Plattsburgh, Ny
- M••••• S•••••• wirehouseSep 25, 2013 to Apr 29, 2014 · Colchester, Vt
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Mar 13, 2024, registered Feb 28, 2024 (-14 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M••••• S•••••• to L•• F•••••••• L••left Apr 29, 2014, registered May 7, 2014 (8 days) · Other
Signals
- ••• LockedMar 13, 2024 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address