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.
K•••• M• P•••••••
Registered advisorat C•••••••• I••••••••• R••••••• A•••••••• I•••Dual registrant· Fairfield, Ia IAPD 5036249
As of · the IAPD feed; also filed as K•••• P••••••••• M•••• V••••••••• M•••• P•••••••
- At current firm
- 3 y
- In the industry
- 19 y
- Prior registered firms
- 2
- Signals
- 0
since Aug 28, 2023
As of · the IAPD feed; also filed as K•••• P••••••••• M•••• V••••••••• M•••• P•••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 28, 2023 · Fairfield, Ia
- W•••• F•••• A••••••• BD affiliatedSep 18, 2017 to Dec 4, 2017 · Keokuk, Ia
- C•••••• S••••• • C••• I••• brokerage advisorySep 7, 2007 to Aug 30, 2017 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 4, 2017, registered Aug 28, 2023 (2093 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••left Aug 30, 2017, registered Sep 18, 2017 (19 days) · Affiliated broker-dealer or bank to wirehouse
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote