DFX Intelligence
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Registered advisor
S•••• M••••• K•••••
Feed of 09/14/2026
Also filed as S•••• K•••••
At current firm
11 y
since Nov 13, 2014
In the industry
23 y
since Oct 4, 2002 (earliest exam, job or registration)
Prior registered firms
6
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 13, 2014 · West Orange, Nj
- W•••• F•••• A••••••• wirehouseMar 3, 2008 to Oct 31, 2014 · Short Hills, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Feb 27, 2008 · Long Island City, Ny
- C••••••• I••••••••• S••••••• unclassifiedApr 3, 2007 to May 29, 2007 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedJun 12, 2006 to Mar 19, 2007 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerAug 9, 2004 to Nov 16, 2005 · New York City, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 10, 2002 to Jul 1, 2004 · Newark, Nj
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Oct 31, 2014, registered Nov 13, 2014 (13 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Feb 27, 2008, registered Mar 3, 2008 (5 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- H••• S••••••••• •••• I••• to C••••••• I••••••••• S•••••••left Mar 19, 2007, registered Apr 3, 2007 (15 days) · Other
- C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••left Nov 16, 2005, registered Jun 12, 2006 (208 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Jul 1, 2004, registered Aug 9, 2004 (39 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address