DFX Intelligence
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Registered advisor
K••••••• M••••••• M•••••
Feed of 09/14/2026
Also filed as K••••••• K•• M••••••••• K• M•••••
At current firm
6 y
since Feb 18, 2020
In the industry
25 y
since Oct 14, 2000 (earliest exam, job or registration)
Prior registered firms
5
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Feb 18, 2020 · Knoxville, Tn
- U•• F•••••••• S••••••• I••• wirehouseApr 22, 2013 to Feb 25, 2020 · Knoxville, Tn
- C•••••••• F•••••••• G•••• A••••••• formerDec 23, 2010 to Dec 31, 2012 · Knoxville, Tn
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 11, 2010 · Knoxville, Tn
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 3, 2008 to Jun 1, 2009 · Knoxville, Tn
- S••••••• I••••••••• S•••••••• I••• formerJun 4, 2002 to Mar 30, 2007 · Oak Ridge, Tn
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Feb 25, 2020, registered Feb 18, 2020 (-7 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• F•••••••• G•••• A••••••• to U•• F•••••••• S••••••• I•••left Dec 31, 2012, registered Apr 22, 2013 (112 days) · Other
- M••••• S•••••• to C•••••••• F•••••••• G•••• A•••••••left Oct 11, 2010, registered Dec 23, 2010 (73 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••left Mar 30, 2007, registered Sep 3, 2008 (523 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address