DFX Intelligence
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Registered advisor
K•••• A•• C•••••
Feed of 09/14/2026
At current firm
3 y
since Aug 11, 2023
In the industry
16 y
since Nov 1, 2009 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
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 11, 2023 · Omaha, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 23, 2013 to Sep 7, 2023 · Omaha, Ne
- T• A••••••••• I••• formerOct 22, 2013 to Oct 14, 2022 · Omaha, Ne
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 11, 2023 (-27 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Oct 23, 2013 (-3278 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address