DFX Intelligence
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Registered advisor
K••••• M••••••• S•••••••
Feed of 09/15/2026
At current firm
8 y
since Mar 15, 2018
In the industry
23 y
since Apr 14, 2003 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- L•• F•••••••• L•• BD affiliated currentsince Mar 15, 2018 · Fairview, Pa
- C••••••• S••••••••• I••• BD affiliatedJun 7, 2012 to Mar 13, 2018 · Meadville, Pa
- L•• F•••••••• L•• BD affiliatedSep 9, 2009 to Dec 31, 2010 · Fort Mill, Sc
- N•••••• I••••••••• I••• unclassifiedSep 14, 2007 to Sep 9, 2009 · Erie, Pa
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Sep 21, 2005 · Erie, Pa
- J••••• H•••••••• W••• L••••• L•• formerApr 16, 2003 to Jan 1, 2004 · Erie, Pa
Moves
a registration end followed by a registration begin elsewhere
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Mar 13, 2018, registered Mar 15, 2018 (2 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Dec 31, 2010, registered Jun 7, 2012 (524 days) · Other
- N•••••• I••••••••• I••• to L•• F•••••••• L••left Sep 9, 2009, registered Sep 9, 2009 (0 days) · Other
- P•• W••••• M••••••••• to N•••••• I••••••••• I•••left Sep 21, 2005, registered Sep 14, 2007 (723 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address