DFX Intelligence
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Registered advisor
N•••• K•••••
Feed of 09/14/2026
Also filed as T••• W••••••••
At current firm
5 y
since Apr 14, 2021
In the industry
25 y
since Sep 17, 2001 (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, S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Apr 14, 2021 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseDec 3, 2019 to Mar 25, 2021 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseFeb 18, 2013 to Nov 29, 2013 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Mar 25, 2021, registered Apr 14, 2021 (20 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Nov 29, 2013, registered Dec 3, 2019 (2195 days) · Wirehouse to wirehouse
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address