DFX Intelligence
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Registered advisor
S•••••• S• K••
Feed of 09/14/2026
Also filed as S•••••• S•••••• K•••••••• K••
At current firm
4 y
since Jan 4, 2022
In the industry
23 y
since Oct 17, 2002 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
22
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- P••• A••••• S••••••••• L•• BD affiliated currentsince Jan 4, 2022 · San Diego, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 5, 2016 to Jan 6, 2022 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Jan 6, 2022, registered Jan 4, 2022 (-2 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedJan 6, 2022 · Advisor changed firm · fact
Transition signals
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