DFX Intelligence
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Registered advisor
K•••• D••• F••••
Feed of 09/14/2026
Also filed as K•••• F••••
At current firm
4 y
since Jan 9, 2022
In the industry
26 y
since Aug 18, 2000 (earliest exam, job or registration)
Prior registered firms
5
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
- C•••••• S••••• • C••• I••• national BD currentsince Jan 9, 2022 · Lone Tree, Co
- T• A••••••••• I••• formerJan 29, 2016 to Jan 11, 2022 · Denver, Co
- A••••• A•• P••••••• S••••••• BD affiliatedJun 11, 2007 to Aug 28, 2014 · Denver, Co
- C•••• I••••••••• S••••••• C•••• formerOct 17, 2005 to May 22, 2007 · Chicago, Il
- P•••• S••••••••• L•• no RAUMNov 18, 2003 to Feb 3, 2005 · Jacksonville, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 18, 2000 to Aug 27, 2003 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Jan 11, 2022, registered Jan 9, 2022 (-2 days) · channel change inside one enterprise, not a move · moved with a team
- A••••• A•• P••••••• S••••••• to T• A••••••••• I•••left Aug 28, 2014, registered Jan 29, 2016 (519 days) · Other
- C•••• I••••••••• S••••••• C•••• to A••••• A•• P••••••• S•••••••left May 22, 2007, registered Jun 11, 2007 (20 days) · Other
- P•••• S••••••••• L•• to C•••• I••••••••• S••••••• C••••left Feb 3, 2005, registered Oct 17, 2005 (256 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••left Aug 27, 2003, registered Nov 18, 2003 (83 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address