DFX Intelligence
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K•••• M•••••• C•••••
As of · the IAPD feed; also filed as K•••• M•••••• C•••••
- At current firm
- 9 y
- In the industry
- 14 y
- Prior registered firms
- 2
- Signals
- 1
since May 17, 2017
As of · the IAPD feed; also filed as K•••• M•••••• C•••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince May 17, 2017 · Dallas, Tx
- G••••• W••••• A••••••• unclassifiedApr 10, 2019 to Feb 27, 2025 · Lewisville, Tx
- U•• F•••••••• S••••••• I••• wirehouseJul 11, 2012 to May 26, 2017 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- G••••• W••••• A••••••• to no registered destinationleft Feb 27, 2025 · Departure, no registered destination
- U•• F•••••••• S••••••• I••• to C••••••••• F•••••••• N••••••left May 26, 2017, registered May 17, 2017 (-9 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedFeb 27, 2025 · Advisor departure · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
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