DFX Intelligence
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Registered advisor
K•••• M• F••••
Feed of 09/14/2026
Also filed as K•••• F••••••••• M• F••••••••• M• F••••••••• M•••••• F••••
At current firm
3 y
since Mar 28, 2023
In the industry
23 y
since Jun 5, 2003 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 28, 2023 · Southport, Ct
- L•• F•••••••• L•• BD affiliatedMar 9, 2020 to Apr 10, 2023 · Fairfield, Ct
- C••• L•• BD affiliatedMay 2, 2019 to Dec 2, 2019 · Cheshire, Ct
- J••• M••••• S••••••••• L•• wirehouseJun 19, 2015 to May 16, 2019 · Fairfield, Ct
- W•••• F•••• A••••••• wirehouseJul 3, 2013 to Jun 11, 2015 · Melville, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 1, 2010 to Jun 18, 2013 · Darien, Ct
- C•••••• S••••• • C••• I••• national BDAug 19, 2004 to Feb 11, 2010 · Stamfort, Ct
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to J••• M••••• S••••••••• L••left Apr 10, 2023, registered Mar 28, 2023 (-13 days) · Affiliated broker-dealer or bank to wirehouse
- C••• L•• to L•• F•••••••• L••left Dec 2, 2019, registered Mar 9, 2020 (98 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to C••• L••left May 16, 2019, registered May 2, 2019 (-14 days) · Wirehouse to independent RIA
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Jun 11, 2015, registered Jun 19, 2015 (8 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jun 18, 2013, registered Jul 3, 2013 (15 days) · Wirehouse to wirehouse
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 11, 2010, registered Feb 1, 2010 (-10 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedApr 10, 2023 · Advisor changed firm · fact
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