DFX Intelligence
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Registered advisor
K•••• S•••••••
Feed of 09/14/2026
Also filed as K•••• M••••••••• M••••••• M••••••••• M• S•••••••
At current firm
1 y
since Sep 24, 2024
In the industry
23 y
since Mar 21, 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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Sep 24, 2024 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 22, 2022 to Jan 23, 2023 · Miami, Fl
- U•• F•••••••• S••••••• I••• wirehouseFeb 4, 2016 to Aug 11, 2021 · Fort Lauderdale, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 15, 2005 to Feb 3, 2016 · Fort Lauderdale, Fl
- C••••••• I••••••••• S••••••• unclassifiedAug 3, 2004 to Mar 23, 2005 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 28, 2003 to Jun 2, 2004 · Ft. Lauderdale, Fl
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Jan 23, 2023, registered Sep 24, 2024 (610 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 11, 2021, registered Jul 22, 2022 (345 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Feb 3, 2016, registered Feb 4, 2016 (1 days) · Wirehouse to wirehouse · moved with a team
- C••••••• I••••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 23, 2005, registered Jun 15, 2005 (84 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• I••••••••• S•••••••left Jun 2, 2004, registered Aug 3, 2004 (62 days) · Other
Signals
- ••• LockedJan 23, 2023 · Advisor changed firm · fact
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