DFX Intelligence
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Registered advisor
K•••• P• K••••••••
Feed of 09/15/2026
Also filed as K•••• M••••••••• P••• M••••••••• P• K••••••••• P••• M••••••••• P••• K••••••••
At current firm
5 y
since Aug 31, 2021
In the industry
19 y
since Dec 29, 2006 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Aug 31, 2021 · Cincinnati, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedMar 30, 2016 to Feb 9, 2021 · Crescent Springs, Ky
- S•••••••• A••••••• L•• national BDDec 18, 2013 to Oct 12, 2015 · Covington, Ky
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to F•••• T•••• S••••••••• I•••left Oct 12, 2015, registered Mar 30, 2016 (170 days) · Other
Signals
No dated event on this person.
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address