DFX Intelligence
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Registered advisor
N••••• S•••• F•••••
Feed of 09/14/2026
Also filed as N••••• K•••••••• S••••••••• K•••••••• S••••••••• K•••••••• F•••••
At current firm
1 y
since Aug 14, 2025
In the industry
22 y
since Oct 27, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Aug 14, 2025 · Baton Rouge, La
- M••••• S•••••• wirehouseJun 15, 2016 to Aug 18, 2025 · Baton Rouge, La
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 3, 2009 to Jun 17, 2016 · Baton Rouge, La
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Sep 1, 2009 · Baton Rouge, La
- B••• O•• S••••••••• C••••••••• unclassifiedFeb 25, 2005 to Jul 6, 2005 · Englewood, Co
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to W•••• F•••• A•••••••left Aug 18, 2025, registered Aug 14, 2025 (-4 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jun 17, 2016, registered Jun 15, 2016 (-2 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 1, 2009, registered Sep 3, 2009 (2 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedAug 18, 2025 · 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address