DFX Intelligence
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Registered advisor
K••••• A• K•••
Feed of 09/14/2026
Also filed as K••••• A•• K••••••••• A•• G••••• K••••••••• A• K•••
At current firm
1 y
since Mar 31, 2025
In the industry
12 y
since Nov 1, 2013 (earliest exam, job or registration)
Prior registered firms
3
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Berkeley, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 18, 2023 to Mar 31, 2025 · Berkeley, Ca
- M••••• S•••••• wirehouseMay 10, 2022 to Sep 8, 2023 · San Francisco, Ca
- C•••••• S••••• • C••• I••• national BDDec 13, 2017 to May 3, 2022 · Reno, Nv
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 8, 2023, registered Oct 18, 2023 (40 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••• S••••• • C••• I••• to M••••• S••••••left May 3, 2022, registered May 10, 2022 (7 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedSep 8, 2023 · Advisor changed firm · fact
- ••• LockedMay 3, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address