DFX Intelligence
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Registered advisor
C•••••••• K• W•••••
F•••• C••••••• I••••••• S•••••••• I•••BD affiliatedPalm Beach Gardens , Fl dual registrantIAPD 3081857
Feed of 09/15/2026
Also filed as C•••••••• A•• K••••••••• K••••••••• K••••• B••••••••• K••••••••• A• K••••••••• A• K••••••••• A• K••••••••• A•• K••••••••• K•••••
At current firm
1 y
since Jan 15, 2025
In the industry
24 y
since Feb 12, 2002 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Jan 15, 2025 · Palm Beach Gardens , Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 2, 2006 to Jan 29, 2009 · Miami, Fl
- P•••• S••••••••• L•• no RAUMJun 8, 2004 to Sep 12, 2006 · Coral Gables, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 12, 2002 to May 21, 2004 · Coral Gables, Fl
Moves
a registration end followed by a registration begin elsewhere
- B••• O• A•••••• I••••••••• S•••••••• I••• to F•••• C••••••• I••••••• S•••••••• I•••left Jan 29, 2009, registered Jan 15, 2025 (5830 days) · Other
- P•••• S••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 12, 2006, registered Oct 2, 2006 (20 days) · Other
- C•••••••• G••••• M•••••• I••• to P•••• S••••••••• L••left May 21, 2004, registered Jun 8, 2004 (18 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address