DFX Intelligence
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Registered advisor
E••••• K•••••••
Feed of 09/14/2026
Also filed as E••••• K••••••••• N••••••• K••••••••• N• K••••••••• K•••••••
At current firm
3 y
since Aug 21, 2023
In the industry
17 y
since Aug 6, 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 Aug 21, 2023 · Henderson, Nv
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 25, 2016 to Sep 7, 2023 · Las Vegas, Nv
- T• A••••••••• I••• formerOct 25, 2016 to Oct 14, 2022 · Las Vegas, Nv
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedAug 24, 2016 to Sep 27, 2016 · Las Vegas, Nv
- M••••• S•••••• wirehouseOct 6, 2009 to Dec 23, 2010 · Las Vegas, Nv
- W•••••• • R••• formerAug 6, 2009 to Oct 13, 2009 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Aug 21, 2023 (-17 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Oct 25, 2016 (-2180 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to T• A••••••••• I•••left Sep 27, 2016, registered Oct 25, 2016 (28 days) · Other
- M••••• S•••••• to T••••••••• F•••••••• A•••••••• L••left Dec 23, 2010, registered Aug 24, 2016 (2071 days) · Other
- W•••••• • R••• to M••••• S••••••left Oct 13, 2009, registered Oct 6, 2009 (-7 days) · Other
Signals
No dated event on this person.
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