DFX Intelligence
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Registered advisor
K••• B•••• S••••••
Feed of 09/14/2026
At current firm
9 y
since Apr 18, 2017
In the industry
22 y
since Sep 22, 2004 (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
S63, 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
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Apr 18, 2017 · Charlotte, Nc
- P•••• S••••••••• L•• no RAUMApr 21, 2016 to Apr 11, 2017 · Charlotte, Nc
- A••••• A•• P••••••• S••••••• BD affiliatedNov 20, 2012 to Jan 25, 2016 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to A••••• A•• P••••••• S•••••••left Apr 11, 2017, registered Apr 18, 2017 (7 days) · Other
- A••••• A•• P••••••• S••••••• to P•••• S••••••••• L••left Jan 25, 2016, registered Apr 21, 2016 (87 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address