DFX Intelligence
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Registered advisor
S••••• K•••••••••
Feed of 09/14/2026
At current firm
9 y
since Mar 16, 2017
In the industry
14 y
since Dec 23, 2011 (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
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Mar 16, 2017 · New York, Ny
- H•••••••• A•••••••• L•• BD affiliatedSep 2, 2014 to Apr 18, 2017 · Woodbridge, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 3, 2012 to Sep 2, 2014 · Short Hills, Nj
Moves
a registration end followed by a registration begin elsewhere
- H•••••••• A•••••••• L•• to U•• F•••••••• S••••••• I•••left Apr 18, 2017, registered Mar 16, 2017 (-33 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••••• A•••••••• L••left Sep 2, 2014, registered Sep 2, 2014 (0 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address