DFX Intelligence
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Registered advisor
K•••• T• P•••
Feed of 09/14/2026
Also filed as K•••• T• G••••••••• T•• G••••••••• A• P••••••••• T• P••••••••• T•• P•••
At current firm
4 y
since Jun 29, 2022
In the industry
25 y
since Nov 1, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- C•••••• S••••• • C••• I••• national BD currentsince Jun 29, 2022 · Westlake, Tx
- J••• M••••• S••••••••• L•• wirehouseMay 11, 2018 to Jun 17, 2022 · Los Angeles, Ca
- S•••••••• A••••••• L•• national BDSep 21, 2015 to May 18, 2018 · Santa Monica, Ca
- S•••••••• A••••••• L•• national BDJan 19, 2007 to Apr 15, 2015 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to C•••••• S••••• • C••• I•••left Jun 17, 2022, registered Jun 29, 2022 (12 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• A••••••• L•• to J••• M••••• S••••••••• L••left May 18, 2018, registered May 11, 2018 (-7 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
Signals
- ••• LockedJun 17, 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address