DFX Intelligence
RIA Intelligence
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Registered advisor
K•••• T•••••••
Feed of 09/14/2026
Also filed as K•••• T•••••••
At current firm
4 y
since Nov 1, 2021
In the industry
23 y
since Jul 29, 2003 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 1, 2021 · Oakbrook Terrace, Il
- P•••• S••••••••• L•• no RAUMFeb 25, 2019 to Oct 12, 2020 · Downers Grove, Il
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIASep 17, 2016 to Jan 31, 2019 · Oakbrook Terrace, Il
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to A••••••• A••••••• S•••••••• L••left Oct 12, 2020, registered Nov 1, 2021 (385 days) · Affiliated broker-dealer or bank to another
- M••••• O• O•••• I••••••• S•••••••• I••• to P•••• S••••••••• L••left Jan 31, 2019, registered Feb 25, 2019 (25 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
- 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