DFX Intelligence
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Registered advisor
A•••• K•• F••• C•••
Feed of 09/15/2026
Also filed as A•••• K• C••••••••• K• C••••••••• C••••••••• K•• C••••••••• K•• F••• C•••
At current firm
6 y
since Oct 18, 2019
In the industry
27 y
since Aug 12, 1999 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 18, 2019 · Pasadena, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 14, 2016 to Sep 16, 2019 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 5, 2013 to Jul 25, 2016 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 18, 2010 to Sep 12, 2013 · San Francisco, Ca
- •••• L••• Q•••• A•••• M••••••••• unclassifiedOct 29, 2009 to Aug 22, 2011 · Santa Clara, Ca
- R•••••• S••••••••• G••••• I••• unclassifiedFeb 14, 2008 to Mar 19, 2008 · San Francisco, Ca
- R•••••• S••••••••• G••••• I••• unclassifiedAug 23, 2007 to Nov 29, 2007 · San Francisco, Ca
- R•••••• S••••••••• G••••• I••• unclassifiedFeb 27, 2007 to Jul 31, 2007 · San Francisco, Ca
- U•• I••••••••• S•••••••• I••• unclassifiedOct 20, 2003 to Aug 4, 2005 · Sf, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 27, 2000 to Jul 8, 2002 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 16, 2019, registered Oct 18, 2019 (32 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Jul 25, 2016, registered Jul 14, 2016 (-11 days) · Other
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Sep 12, 2013, registered Sep 5, 2013 (-7 days) · Other
- •••• L••• Q•••• A•••• M••••••••• to C•••••••• G••••• M•••••• I•••left Aug 22, 2011, registered Aug 18, 2010 (-369 days) · Other
- R•••••• S••••••••• G••••• I••• to •••• L••• Q•••• A•••• M•••••••••left Mar 19, 2008, registered Oct 29, 2009 (589 days) · Other
- U•• I••••••••• S•••••••• I••• to R•••••• S••••••••• G••••• I•••left Aug 4, 2005, registered Feb 27, 2007 (572 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• I••••••••• S•••••••• I•••left Jul 8, 2002, registered Oct 20, 2003 (469 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address