DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
E••• E•••••••• K••••
Feed of 09/14/2026
Also filed as E••• E• K••••
At current firm
5 y
since Oct 14, 2020
In the industry
13 y
since Nov 6, 2012 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Aug 7, 2024 · Chicago, Il
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Oct 14, 2020 · Chicago, Il
- C•••••• S••••• • C••• I••• national BDMay 21, 2019 to Oct 15, 2020 · Chicago, Il
- J••• M••••• S••••••••• L•• wirehouseOct 23, 2017 to May 7, 2019 · Chicago, Il
- S•••••• N••••••• • C••••••• I••••••••• national BDJul 9, 2015 to Oct 12, 2017 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to R••••••••• C•••••• M•••••••••left Oct 15, 2020, registered Oct 14, 2020 (-1 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to C•••••• S••••• • C••• I•••left May 7, 2019, registered May 21, 2019 (14 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••• N••••••• • C••••••• I••••••••• to J••• M••••• S••••••••• L••left Oct 12, 2017, registered Oct 23, 2017 (11 days) · Affiliated broker-dealer or bank to wirehouse
Signals
No dated event on this person.
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address