DFX Intelligence
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Registered advisor
K•••• T••• D•••••••
Feed of 09/14/2026
At current firm
4 y
since Jan 26, 2022
In the industry
20 y
since May 1, 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, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Sarasota, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 9, 2016 to Sep 7, 2023 · Santa Monica, Ca
- T• A••••••••• I••• formerDec 9, 2016 to Oct 14, 2022 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 13, 2015 to Nov 21, 2016 · Huntington Beach, Ca
- O•••• W•••••• I••• BD affiliatedMay 9, 2013 to Oct 30, 2015 · Kansas City, Mo
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Dec 9, 2016 (-2135 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Nov 21, 2016, registered Dec 9, 2016 (18 days) · Other · moved with a team
- O•••• W•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 30, 2015, registered Nov 13, 2015 (14 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address