DFX Intelligence
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C••• J• K••••
Registered advisorat N••••••••• M••••• I••••••••• S•••••••••Dual registrant· Sioux Falls, SdIAPD 6149606
As of · the IAPD feed; also filed as C••• J• K••••••••• J• K••••••••• J• K••••••••• J• K••••••••• J• S••••••••• J• S••••••
- At current firm
- 10 y
- In the industry
- 12 y
- Prior registered firms
- 1
- Signals
- 0
since Oct 2, 2015
As of · the IAPD feed; also filed as C••• J• K••••••••• J• K••••••••• J• K••••••••• J• K••••••••• J• S••••••••• J• S••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Oct 2, 2015 · Sioux Falls, Sd
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 18, 2014 to Jan 9, 2015 · Sioux Falls, Sd
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Jan 9, 2015, registered Oct 2, 2015 (266 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- No RAUM reportedderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote