DFX Intelligence
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Registered advisor
K•••• A••••
Feed of 09/14/2026
Also filed as K•••• A••••••••• K••• A••••
At current firm
1 y
since Jun 2, 2025
In the industry
15 y
since May 16, 2011 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 2, 2025 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseAug 31, 2017 to May 20, 2025 · Century City, Ca
- M••••• S•••••• wirehouseMar 10, 2014 to Aug 3, 2017 · Pasadena, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 22, 2013 to Feb 27, 2014 · Beverly Hills, Ca
- H••• S••••••••• •••• I••• BD affiliatedMay 17, 2011 to Dec 19, 2012 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••left May 20, 2025, registered Jun 2, 2025 (13 days) · Wirehouse to wirehouse
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Aug 3, 2017, registered Aug 31, 2017 (28 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Feb 27, 2014, registered Mar 10, 2014 (11 days) · Other
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Dec 19, 2012, registered Jan 22, 2013 (34 days) · Other
Signals
- ••• LockedMay 20, 2025 · 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address