DFX Intelligence
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Registered advisor
K•• I•••••
Feed of 09/15/2026
At current firm
3 y
since Apr 27, 2023
In the industry
16 y
since May 27, 2010 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- P•• W••••• M••••••••• BD affiliated currentsince Apr 27, 2023 · Parsippany, Nj
- C•••••• S••••• • C••• I••• national BDApr 1, 2022 to Apr 20, 2023 · Jersey City, Nj
- T• A••••••••• I••• formerSep 17, 2013 to Oct 14, 2022 · Morristown, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 16, 2013 to Apr 20, 2023 · Morristown, Nj
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 20, 2023, registered Sep 17, 2013 (-3502 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to P•• W••••• M•••••••••left Apr 20, 2023, registered Apr 27, 2023 (7 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Apr 1, 2022 (-196 days) · channel change inside one enterprise, not a move · moved with a team
Signals
- ••• LockedApr 20, 2023 · Advisor changed firm · fact
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address