DFX Intelligence
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Registered advisor
R••••• K•••• P••••••
Feed of 09/14/2026
At current firm
2 y
since Aug 28, 2024
In the industry
24 y
since Dec 19, 2001 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- C••••••• S••••••••• I••• BD affiliated currentsince Aug 28, 2024 · Johnston, Ri
- C••••••• S••••••••• I••• BD affiliatedMar 11, 2022 to Oct 16, 2023 · Johnston, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 19, 2019 to Mar 2, 2022 · Riverside, Ri
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left Mar 2, 2022, registered Mar 11, 2022 (9 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedMar 2, 2022 · Advisor changed firm · fact
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