DFX Intelligence
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Registered advisor
K••••••• M••••••• P••••
Feed of 09/14/2026
Also filed as K••••••• M••••••• Epson
At current firm
12 y
since Aug 5, 2014
In the industry
24 y
since Dec 17, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 5, 2014 · Tucson, Az
- S•••••••• F••••••••• I••• formerAug 13, 2013 to Aug 1, 2014 · Tucson, Az
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerSep 22, 2011 to Dec 17, 2012 · Tucson, Az
- W••••••• F•••••••• S•••••••• I••• formerOct 7, 2009 to Sep 29, 2011 · Tucson, Az
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 1, 2014, registered Aug 5, 2014 (4 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S•••••••• F••••••••• I•••left Dec 17, 2012, registered Aug 13, 2013 (239 days) · Other
- W••••••• F•••••••• S•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Sep 29, 2011, registered Sep 22, 2011 (-7 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address