DFX Intelligence
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Registered advisor
N••• K•• S•••••
Feed of 09/15/2026
Also filed as N••• K•• F••••••••• K• S••••••••• K•• S•••••
At current firm
2 y
since Jun 12, 2024
In the industry
17 y
since Nov 1, 2008 (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
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
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jun 12, 2024 · Plymouth, Mn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 13, 2023 to Jun 3, 2024 · Midland, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 7, 2022 to Mar 31, 2023 · East Lansing, Mi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 19, 2021 to Sep 20, 2021 · Midland, Mi
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W••••• E••••••••• A••••••• S•••••••• L••left Jun 3, 2024, registered Jun 12, 2024 (9 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 31, 2023, registered Apr 13, 2023 (13 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 20, 2021, registered Jan 7, 2022 (109 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedJun 3, 2024 · Advisor changed firm · fact
- ••• LockedMar 31, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address