DFX Intelligence
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Registered advisor
K•••• C••••• O••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as K•••• C••••• O••••••••• C• O••••••••• C• O••••••
At current firm
4 y
since May 11, 2022
In the industry
16 y
since Feb 1, 2010 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- A••••••••• L••• other currentsince May 11, 2022 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseJul 28, 2020 to May 4, 2022 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to A••••••••• L•••left May 4, 2022, registered May 11, 2022 (7 days) · Other
Signals
- ••• LockedMay 4, 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
- Other adviserderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address