DFX Intelligence
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Registered advisor
C•••••• M•••••• K••••
Feed of 09/14/2026
Also filed as C•••••• K••••••••• K••••••••• M• K••••
At current firm
3 y
since Aug 21, 2023
In the industry
19 y
since Aug 23, 2007 (earliest exam, job or registration)
Prior registered firms
6
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
- C•••••• S••••• • C••• I••• national BD currentsince Aug 21, 2023 · Henderson, Nv
- T• A••••••••• I••• formerMar 8, 2018 to Oct 14, 2022 · Henderson, Nv
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Sep 7, 2023 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJan 5, 2017 to Feb 26, 2018 · Saint Louis, Mo
- W•••• F•••• A••••••• wirehouseDec 9, 2010 to Jan 19, 2012 · Glendale, Az
- W•••• F•••• I••••••••• L•• unclassifiedMay 13, 2009 to Nov 5, 2010 · Henderson, Nv
- E••••• J•••• national BDSep 7, 2007 to Feb 14, 2008 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 7, 2023, registered Mar 8, 2018 (-2009 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Aug 21, 2023 (311 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S•••••••• I••••••••• M•••••••••left Jan 19, 2012, registered Jan 5, 2017 (1813 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Nov 5, 2010, registered Dec 9, 2010 (34 days) · Other
- E••••• J•••• to W•••• F•••• I••••••••• L••left Feb 14, 2008, registered May 13, 2009 (454 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address