DFX Intelligence
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Registered advisor
N••• J••• K••••••
Feed of 09/14/2026
Also filed as N••• J••• K••••••••• K••••••
At current firm
4 y
since Jul 8, 2022
In the industry
26 y
since Sep 20, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Jul 8, 2022 · South Burlington, Vt
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 31, 2017 to Jul 12, 2022 · Burlington, Vt
- U•• F•••••••• S••••••• I••• wirehouseJul 30, 2010 to Apr 11, 2017 · South Burlington, Vt
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••left Jul 12, 2022, registered Jul 8, 2022 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 11, 2017, registered Mar 31, 2017 (-11 days) · Wirehouse to wirehouse
Signals
- ••• LockedJul 12, 2022 · Advisor changed firm · fact
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
- 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