DFX Intelligence
RIA Intelligence
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Registered advisor
N••••• K••••••••
Feed of 09/15/2026
At current firm
16 y
since Jan 7, 2010
In the industry
20 y
since May 8, 2006 (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
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jan 7, 2010 · Baltimore, Md
- N••••••••• S••••••••• L•• no RAUMAug 1, 2008 to Oct 28, 2009 · Newark, De
- 1••• C•••••• M••••••••• C•••••• unclassifiedFeb 8, 2008 to Aug 1, 2008 · Newark, De
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Oct 28, 2009, registered Jan 7, 2010 (71 days) · Other
- 1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address