DFX Intelligence
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Registered advisor
K•••• S•••••
Feed of 09/15/2026
At current firm
1 y
since Mar 31, 2025
In the industry
17 y
since Mar 31, 2009 (earliest exam, job or registration)
Prior registered firms
3
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Pasadena, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 6, 2024 to Mar 31, 2025 · Pasadena, Ca
- W•••• F•••• A••••••• wirehouseAug 16, 2022 to Sep 25, 2023 · Pasadena, Ca
- J••• M••••• S••••••••• L•• wirehouseAug 15, 2018 to Jul 18, 2022 · Marina Del Rey, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 25, 2023, registered Feb 6, 2024 (134 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jul 18, 2022, registered Aug 16, 2022 (29 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedSep 25, 2023 · Advisor changed firm · fact
- ••• LockedJul 18, 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
- 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