DFX Intelligence
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Registered advisor
K••••• C••••••••• B•••••
Feed of 09/14/2026
Also filed as K••••• C• B•••••
At current firm
11 y
since Dec 3, 2014
In the industry
17 y
since Jun 9, 2009 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince Dec 3, 2014 · Los Olivos, Ca
- W•••• F•••• A••••••• wirehouseMay 3, 2010 to Dec 10, 2014 · Roseville, Ca
- W•••••• • R••• formerJun 11, 2009 to May 4, 2010 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Dec 10, 2014, registered Dec 3, 2014 (-7 days) · Other
- W•••••• • R••• to W•••• F•••• A•••••••left May 4, 2010, registered May 3, 2010 (-1 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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