DFX Intelligence
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Registered advisor
K•••• M••••••
Chartered Financial Analyst
Feed of 09/14/2026
Also filed as K•••• T••••• M••••••
At current firm
0 y
since Mar 13, 2026
In the industry
14 y
since Nov 12, 2011 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
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
- S••••• W••••• A•••••••• I••• no RAUM currentsince Mar 13, 2026 · Lone Tree, Co
- C•••••• S••••• • C••• I••• national BD currentsince Mar 13, 2026 · Lone Tree, Co
- C•••••• S••••• I••••••••• A•••••••• I•• formerDec 1, 2014 to Sep 30, 2020 · Lone Tree, Co
- C•••••• S••••• • C••• I••• national BDJul 5, 2012 to Apr 17, 2014 · Englewood, Co
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• I••••••••• A•••••••• I•• to S••••• W••••• A•••••••• I•••left Sep 30, 2020, registered Mar 13, 2026 (1990 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to C•••••• S••••• I••••••••• A•••••••• I••left Apr 17, 2014, registered Dec 1, 2014 (228 days) · channel change inside one enterprise, 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
- No RAUM reportedderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address