DFX Intelligence
RIA Intelligence
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Registered advisor
C••• A•••• K••••••
Feed of 09/14/2026
At current firm
3 y
since May 19, 2023
In the industry
17 y
since Jul 18, 2009 (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
S66, 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
- S•••• F••• I••••••••• M••••••••• C•••• asset manager currentsince May 19, 2023 · Mansfield, Oh
- E••••• J•••• national BDJul 20, 2009 to Dec 17, 2009 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to S•••• F••• I••••••••• M••••••••• C••••left Dec 17, 2009, registered May 19, 2023 (4901 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address