DFX Intelligence
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Registered advisor
K•••• N•• T•••••
Feed of 09/14/2026
Also filed as P••• N•• T••••••••• T••••••••• N• T•••••
At current firm
2 y
since Aug 28, 2024
In the industry
20 y
since Jan 22, 2006 (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
S65, 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
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Aug 28, 2024 · Frisco, Tx
- W•••• F•••• A••••••• wirehouseDec 11, 2019 to Jun 21, 2024 · Austin, Tx
- C••• F•••••••• S•••••••• L••• formerJul 25, 2016 to May 20, 2019 · Cedar Park, Tx
- W•••• F•••• A••••••• wirehouseJan 6, 2014 to Jul 20, 2016 · Austin, Tx
- W•••• F•••• I••••••••• L•• unclassifiedJan 24, 2006 to Sep 14, 2006 · Carrollton, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••• A•• P••••••• S•••••••left Jun 21, 2024, registered Aug 28, 2024 (68 days) · Wirehouse to affiliated broker-dealer or bank
- C••• F•••••••• S•••••••• L••• to W•••• F•••• A•••••••left May 20, 2019, registered Dec 11, 2019 (205 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to C••• F•••••••• S•••••••• L•••left Jul 20, 2016, registered Jul 25, 2016 (5 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Sep 14, 2006, registered Jan 6, 2014 (2671 days) · Other
Signals
- ••• LockedJun 21, 2024 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address