DFX Intelligence
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Registered advisor
C•••••••• M••••••••
Feed of 09/14/2026
Also filed as C•••••••• K••••••••• K••••••••• C••••••••• K••••
At current firm
5 y
since Mar 31, 2021
In the industry
18 y
since Aug 9, 2008 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 31, 2021 · Pearl River, Ny
- F•••••••• A••••••• S•••••••• L•• formerDec 6, 2016 to Jun 25, 2019 · Pearl River, Ny
Moves
a registration end followed by a registration begin elsewhere
- F•••••••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 25, 2019, registered Mar 31, 2021 (645 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address