DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
K••••• M••••••
Feed of 09/15/2026
At current firm
3 y
since Apr 17, 2023
In the industry
23 y
since Jul 21, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- P•••••••• S••••••••• I••• BD affiliated currentsince Apr 17, 2023 · Des Moines, Ia
- E•••••• A••••••• G••••• L•• BD affiliatedMay 10, 2022 to Feb 15, 2023 · Bakersfield, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to May 5, 2022 · Bakersfield, Ca
- C•••• I••••••••• S••••••• C•••• formerJan 26, 2010 to Oct 1, 2012 · Bakersfield, Ca
- C••• F•••••••• S•••••••• L••• formerMay 30, 2006 to Jun 12, 2009 · Bakersfield, Ca
Moves
a registration end followed by a registration begin elsewhere
- E•••••• A••••••• G••••• L•• to P•••••••• S••••••••• I•••left Feb 15, 2023, registered Apr 17, 2023 (61 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to E•••••• A••••••• G••••• L••left May 5, 2022, registered May 10, 2022 (5 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to C•••• I••••••••• S••••••• C••••left Jun 12, 2009, registered Jan 26, 2010 (228 days) · Other
Signals
- ••• LockedFeb 15, 2023 · Advisor changed firm · fact
- ••• LockedMay 5, 2022 · 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
- 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