DFX Intelligence
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Feed of 09/14/2026
Also filed as K•••• K•••••• C••••
At current firm
15 y
since Jan 3, 2011
In the industry
20 y
since Jan 7, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- W•••• F•••• A••••••• wirehouse currentsince Jan 3, 2011 · Chino Hills, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 2, 2007 to Jan 3, 2011 · Alhambra, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jul 2, 2007 · Glendale, Ca
- M••••• S•••••• D• I••• unclassifiedMar 17, 2006 to Apr 2, 2007 · Glendale, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDJan 9, 2006 to Mar 13, 2006 · Corona, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to W•••• F•••• I••••••••• L••left Jul 2, 2007, registered Jul 2, 2007 (0 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to M••••• S•••••• D• I•••left Mar 13, 2006, registered Mar 17, 2006 (4 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address