DFX Intelligence
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Registered advisor
S•••• R•••• K•••••
Feed of 09/15/2026
Also filed as S•••• R• K•••••
At current firm
8 y
since Nov 7, 2017
In the industry
25 y
since Sep 19, 2001 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- G••••• R••••••••• P••••••• L•• institutional currentsince Nov 7, 2017 · Cleveland, Oh
- P•••••••• S••••••••• I••• BD affiliatedJan 2, 2008 to Oct 10, 2017 · Cleveland, Oh
Moves
a registration end followed by a registration begin elsewhere
- P•••••••• S••••••••• I••• to G••••• R••••••••• P••••••• L••left Oct 10, 2017, registered Nov 7, 2017 (28 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
- Institutional managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address