DFX Intelligence
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Registered advisor
F••••• K•••••••••
Feed of 09/14/2026
Also filed as F••••• K••••••••• P• K•••••••••
At current firm
1 y
since Jan 6, 2025
In the industry
17 y
since Jun 5, 2009 (earliest exam, job or registration)
Prior registered firms
5
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 Jan 6, 2025 · Garden City, Ny
- S•••••••• A••••••• L•• national BDSep 8, 2015 to Oct 12, 2016 · Santa Barbara, Ca
- W•••• F•••• A••••••• wirehouseOct 7, 2014 to Aug 5, 2015 · San Luis Obispo, Ca
- S•••••••• A••••••• L•• national BDSep 5, 2014 to Oct 6, 2014 · Lake Grove, Ny
- C•••• I••••••••• S••••••• C•••• formerSep 18, 2009 to Jul 16, 2010 · New York, Ny
- E•••••••• A•••••••• L•• national BDJun 5, 2009 to Sep 17, 2009 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Oct 12, 2016, registered Jan 6, 2025 (3008 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to S•••••••• A••••••• L••left Aug 5, 2015, registered Sep 8, 2015 (34 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S•••••••• A••••••• L•• to W•••• F•••• A•••••••left Oct 6, 2014, registered Oct 7, 2014 (1 days) · Affiliated broker-dealer or bank to wirehouse
- C•••• I••••••••• S••••••• C•••• to S•••••••• A••••••• L••left Jul 16, 2010, registered Sep 5, 2014 (1512 days) · Other
- E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••left Sep 17, 2009, registered Sep 18, 2009 (1 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address