DFX Intelligence
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Registered advisor
A•••• R•••• K•••••
Feed of 09/14/2026
Also filed as A•••• R•••• K••••••••• R•••• D•••••
At current firm
2 y
since Jan 3, 2024
In the industry
19 y
since Jun 4, 2007 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jan 3, 2024 · Cincinnati, Oh
- M••••• S•••••• wirehouseMar 8, 2016 to Oct 13, 2023 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 13, 2023, registered Jan 3, 2024 (82 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedOct 13, 2023 · Advisor changed firm · fact
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address