DFX Intelligence
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Registered advisor
C•••• K••••••••
Feed of 09/15/2026
Also filed as C•••• K••••••••• J•• K••••••••
At current firm
3 y
since Oct 5, 2022
In the industry
13 y
since Jan 1, 2013 (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
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Oct 5, 2022 · Westlake, Tx
- T• A••••••••• I••• formerMar 25, 2022 to Oct 14, 2022 · Westlake, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 6, 2019 to Mar 8, 2022 · Jacksonville, Fl
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Oct 5, 2022 (-9 days) · channel change inside one enterprise, not a move · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Mar 8, 2022, registered Mar 25, 2022 (17 days) · Other
Signals
- ••• LockedMar 8, 2022 · Advisor changed firm · fact
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address