DFX Intelligence
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Registered advisor
K•••••• R••• C••••
Feed of 09/14/2026
At current firm
11 y
since Sep 21, 2015
In the industry
28 y
since Jul 28, 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
0
dated events on this person
Registration history
IAPD current and previous registrations
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Sep 21, 2015 · Eagle, Id
- U••• B•••••• I••••••••• I••• formerJun 16, 2011 to Sep 22, 2015 · Arroyo Grande, Ca
- C•••• I••••••••• S••••••• C•••• formerSep 4, 2009 to Jun 16, 2011 · Culver City, Ca
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to I••••••••• F•••••••• G••••• L••left Sep 22, 2015, registered Sep 21, 2015 (-1 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left Jun 16, 2011, registered Jun 16, 2011 (0 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
- 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