DFX Intelligence
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Registered advisor
S••• K•••••
Feed of 09/14/2026
At current firm
5 y
since Jul 8, 2021
In the industry
14 y
since Oct 21, 2011 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 8, 2021 · Montclair, Nj
- R•••••• J•••• • A••••••••• I••• national BDSep 6, 2016 to Jul 12, 2021 · New York, Ny
- D••••••• B••• S••••••••• I••• no RAUMJul 2, 2013 to Sep 6, 2016 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jul 12, 2021, registered Jul 8, 2021 (-4 days) · Affiliated broker-dealer or bank to another
- D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2016, registered Sep 6, 2016 (0 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address