DFX Intelligence
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Registered advisor
K••• M•••••• A•••••••
Feed of 09/14/2026
At current firm
12 y
since Feb 11, 2014
In the industry
24 y
since Jan 8, 2002 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Feb 11, 2014 · Ridgefield, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 21, 2004 to Jun 1, 2009 · Milwaukee, Wi
- S••••• C•••••• M••••••••• I•• unclassifiedAug 26, 2002 to Apr 21, 2003 · Menomonee Falls, Wi
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Feb 11, 2014 (1716 days) · corporate re-registration, not a move
- S••••• C•••••• M••••••••• I•• to C•••••••• G••••• M•••••• I•••left Apr 21, 2003, registered Jan 21, 2004 (275 days) · Other
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address