DFX Intelligence
RIA Intelligence
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Registered advisor
K•••• J• K•••••
Feed of 09/14/2026
At current firm
5 y
since May 23, 2021
In the industry
22 y
since Sep 16, 2004 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- N•••••••• W••••• M••••••••• independent RIA currentsince May 23, 2021 · Williamsville, Ny
- W•••• F•••• A••••••• wirehouseJul 17, 2008 to May 24, 2021 · Williamsville, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 21, 2007 to Jul 24, 2008 · Getzville, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 20, 2004 to Feb 12, 2007 · Buffalo, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to N•••••••• W••••• M•••••••••left May 24, 2021, registered May 23, 2021 (-1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jul 24, 2008, registered Jul 17, 2008 (-7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 12, 2007, registered May 21, 2007 (98 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address