DFX Intelligence
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Registered advisor
S•••••• M••• K•••••
Feed of 09/14/2026
Also filed as S•••••• K•••••
At current firm
5 y
since Nov 12, 2020
In the industry
24 y
since Jun 6, 2002 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 12, 2020 · Edmonds, Wa
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Nov 12, 2020 · Bellevue, Wa
- F•••• A••••• S••••••••• I••• formerNov 21, 2003 to Jul 2, 2012 · Bellevue, Wa
- M••••• S•••••• D• I••• unclassifiedJul 11, 2002 to Feb 20, 2003 · Bellevue, Wa
Moves
a registration end followed by a registration begin elsewhere
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to F•••• A••••• S••••••••• I•••left Feb 20, 2003, registered Nov 21, 2003 (274 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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