DFX Intelligence
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Registered advisor
F•••••••• C••• J••••••
Feed of 09/14/2026
Also filed as F•••••••• J••••••
At current firm
0 y
since Feb 11, 2026
In the industry
12 y
since Jul 1, 2014 (earliest exam, job or registration)
Prior registered firms
1
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
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Feb 11, 2026 · Seattle, Wa
- W•••• F•••• A••••••• wirehouseJun 22, 2015 to Jan 30, 2025 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to K•• I••••••••• S••••••• L••left Jan 30, 2025, registered Feb 11, 2026 (377 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedJan 30, 2025 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address