DFX Intelligence
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Registered advisor
K••••••• S•••••• E••••••
Feed of 09/14/2026
Also filed as K••••••• J••• S••••••••• J••• S••••••••• J••• S••••••••• J••• S••••••••• S•••••• E••••••••• S•••••• E••••••••• S• E••••••
At current firm
11 y
since Jul 29, 2015
In the industry
15 y
since Feb 25, 2011 (earliest exam, job or registration)
Prior registered firms
2
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
- M••••• S•••••• wirehouse currentsince Jul 29, 2015 · Columbus, Oh
- S••••••••• A•••••• A•••••••• I••• formerMar 17, 2015 to Aug 13, 2015 · Dublin, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 14, 2011 to Mar 31, 2014 · Clayton, Mo
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to M••••• S••••••left Aug 13, 2015, registered Jul 29, 2015 (-15 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••••• A•••••• A•••••••• I•••left Mar 31, 2014, registered Mar 17, 2015 (351 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address