DFX Intelligence
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Registered advisor
R••• E••••• K••••••
Feed of 09/14/2026
At current firm
4 y
since Aug 26, 2022
In the industry
13 y
since Aug 8, 2013 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••• S••••••• N•••••• independent RIA currentsince Aug 26, 2022 · Atlanta, Ga
- M••••• S•••••• wirehouseAug 4, 2016 to Sep 13, 2022 · Brea, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedApr 6, 2015 to May 11, 2016 · Chino, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to A••••••• S••••••• N••••••left Sep 13, 2022, registered Aug 26, 2022 (-18 days) · Wirehouse to independent RIA
- T••••••••• F•••••••• A•••••••• L•• to M••••• S••••••left May 11, 2016, registered Aug 4, 2016 (85 days) · Other
Signals
- ••• LockedSep 13, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address