DFX Intelligence
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Registered advisor
K••• D•••••• K•••
Certified Financial Planner
Feed of 09/14/2026
At current firm
11 y
since Jul 17, 2015
In the industry
28 y
since Jun 19, 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
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 17, 2015 · Walnut Creek, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jul 20, 2015 · Walnut Creek, Ca
- A• G• E•••••• • S•••• I••• unclassifiedMar 29, 2001 to Jan 1, 2008 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 20, 2015, registered Jul 17, 2015 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address