DFX Intelligence
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Registered advisor
T•••••• A••• K•••••
Feed of 09/14/2026
Also filed as Tim K•••••
At current firm
0 y
since Sep 30, 2025
In the industry
28 y
since Apr 14, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 30, 2025 · Eau Claire, Wi
- C••••••••• F•••••••• N•••••• national BDJan 28, 2016 to Sep 30, 2025 · Eau Claire, Wi
- S••••••••• A•••••• A•••••••• I••• formerNov 1, 2012 to Jan 29, 2016 · Eau Claire, Wi
- C••••••••• F•••••••• N•••••• national BDNov 14, 2005 to Nov 8, 2012 · Eau Claire, Wi
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 30, 2025, registered Sep 30, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••••• A•••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Jan 29, 2016, registered Jan 28, 2016 (-1 days) · Other
- C••••••••• F•••••••• N•••••• to S••••••••• A•••••• A•••••••• I•••left Nov 8, 2012, registered Nov 1, 2012 (-7 days) · Other
Signals
- T•••••• A••• K••••• left C••••••••• F•••••••• N•••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-09-30)Sep 30, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address