DFX Intelligence
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Registered advisor
T•• J•••••••• K••
Feed of 09/15/2026
Also filed as J•••••••• T•• K•••••• J• K•••••• J•••••••• K•••••• K••
At current firm
1 y
since Mar 31, 2025
In the industry
23 y
since Oct 22, 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
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Jose, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 21, 2018 to Mar 31, 2025 · Campbell, Ca
- P•••• S••••••••• L•• no RAUMOct 2, 2015 to Jul 9, 2018 · San Jose, Ca
- P••• A••••• S••••••••• L•• BD affiliatedDec 21, 2012 to Aug 26, 2015 · San Diego, Ca
- M•• F•••••••• S•••••••• I••• formerDec 14, 2006 to Oct 5, 2012 · Bellevue, Wa
- S••••••• F•••••••• S•••••••• I••• formerOct 23, 2002 to Dec 19, 2006 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 9, 2018, registered Nov 21, 2018 (135 days) · Affiliated broker-dealer or bank to another
- P••• A••••• S••••••••• L•• to P•••• S••••••••• L••left Aug 26, 2015, registered Oct 2, 2015 (37 days) · Other
- M•• F•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••left Oct 5, 2012, registered Dec 21, 2012 (77 days) · Other
- S••••••• F•••••••• S•••••••• I••• to M•• F•••••••• S•••••••• I•••left Dec 19, 2006, registered Dec 14, 2006 (-5 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address