DFX Intelligence
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Registered advisor
V••••••• N•••• K•••
Feed of 09/15/2026
Also filed as V••••••• C••••••••• N•••• C•••••••
At current firm
0 y
since Oct 27, 2025
In the industry
20 y
since Apr 28, 2006 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 27, 2025 · Weehawken, Nj
- M••••• S•••••• wirehouseJan 11, 2019 to May 24, 2022 · Beverly Hills, Ca
- J••• M••••• S••••••••• L•• wirehouseAug 28, 2017 to Dec 6, 2018 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 4, 2015 to Jul 26, 2017 · Manhattan Beach, Ca
- W•••• F•••• A••••••• wirehouseMay 7, 2007 to Oct 15, 2015 · Woodland Hills, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 1, 2006 to Feb 27, 2007 · Brea, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left May 24, 2022, registered Oct 27, 2025 (1252 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to M••••• S••••••left Dec 6, 2018, registered Jan 11, 2019 (36 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jul 26, 2017, registered Aug 28, 2017 (33 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 15, 2015, registered Dec 4, 2015 (50 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 27, 2007, registered May 7, 2007 (69 days) · Wirehouse to wirehouse
Signals
- ••• LockedMay 24, 2022 · 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address