DFX Intelligence
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Registered advisor
N••• R• K••••
Feed of 09/15/2026
Also filed as N••• R••••• W••••••••• R••••• W••••••••• R••••• K••••
At current firm
5 y
since Aug 18, 2021
In the industry
26 y
since Mar 15, 2000 (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
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
- P•• W••••• M••••••••• BD affiliated currentsince Aug 18, 2021 · Lumberton, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerJun 19, 2015 to Aug 17, 2021 · Beaumont, Tx
- W•••• F•••• A••••••• wirehouseFeb 1, 2007 to Nov 18, 2008 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- P•• M•••••• A•••••• S••••••••• I••• to P•• W••••• M•••••••••left Aug 17, 2021, registered Aug 18, 2021 (1 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to P•• M•••••• A•••••• S••••••••• I•••left Nov 18, 2008, registered Jun 19, 2015 (2404 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address