DFX Intelligence
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Registered advisor
K••••••• O••••
Feed of 09/14/2026
Also filed as K••••••• M•••••
At current firm
8 y
since Mar 28, 2018
In the industry
14 y
since Apr 24, 2012 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 28, 2018 · Walnut Creek, Ca
- S•••••••• F••••••••• I••• formerDec 27, 2016 to May 3, 2017 · San Francisco, Ca
- M••••• S•••••• wirehouseSep 29, 2014 to Jan 3, 2017 · San Francisco, Ca
- R•••••• J•••• • A••••••••• I••• national BDApr 25, 2012 to Sep 17, 2014 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to R•••••• J•••• • A••••••••• I•••left May 3, 2017, registered Mar 28, 2018 (329 days) · Other
- M••••• S•••••• to S•••••••• F••••••••• I•••left Jan 3, 2017, registered Dec 27, 2016 (-7 days) · Other
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Sep 17, 2014, registered Sep 29, 2014 (12 days) · Affiliated broker-dealer or bank to wirehouse
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address