DFX Intelligence
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Registered advisor
K•••••••• D•••••• B•••••
Feed of 09/14/2026
At current firm
2 y
since Jan 31, 2024
In the industry
23 y
since Nov 18, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- L•• F•••••••• L•• BD affiliated currentsince Jan 31, 2024 · Tucson, Az
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 27, 2019 to Feb 1, 2024 · Minneapolis, Mn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 5, 2016 to May 3, 2018 · Minneapolis, Mn
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 5, 2015 · Tucson, Az
- W•••• F•••• I••••••••• L•• unclassifiedJul 2, 2007 to Jan 3, 2011 · Tucson, Az
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 25, 2003 to Feb 5, 2007 · Tucson, Az
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Feb 1, 2024, registered Jan 31, 2024 (-1 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 5, 2015, registered Feb 5, 2016 (184 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Feb 5, 2007, registered Jul 2, 2007 (147 days) · Other
Signals
- ••• LockedFeb 1, 2024 · Advisor changed firm · fact
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address