DFX Intelligence
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Registered advisor
M•••••• K•••• M••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as M••• M••••••
At current firm
9 y
since Aug 31, 2017
In the industry
27 y
since Aug 14, 1999 (earliest exam, job or registration)
Prior registered firms
3
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
- M••••• S•••••• wirehouse currentsince Aug 31, 2017 · Santa Rosa, Ca
- W•••• F•••• A••••••• wirehouseNov 24, 2008 to Sep 5, 2017 · Santa Rosa, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Nov 24, 2008 · Santa Rosa, Ca
- M••••• S•••••• D• I••• unclassifiedFeb 28, 2000 to Apr 2, 2007 · Santa Rosa, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Sep 5, 2017, registered Aug 31, 2017 (-5 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••left Nov 24, 2008, registered Nov 24, 2008 (0 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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