DFX Intelligence
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Registered advisor
K•• S•••••• S••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as K•• S•••••• N••••••••• S• S••••••••• S•••••• S••••••
At current firm
1 y
since Mar 31, 2025
In the industry
11 y
since Jan 26, 2015 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Naples, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 28, 2023 to Mar 31, 2025 · Naples, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 30, 2020 to Sep 29, 2022 · Naples, Fl
- V•••• F•••••••• A•••••••• I••• BD affiliatedOct 12, 2016 to Feb 7, 2020 · Tampa, Fl
- M••••• S•••••• wirehouseJan 27, 2015 to Sep 19, 2016 · Naples, Fl
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 29, 2022, registered Jan 28, 2023 (121 days) · Affiliated broker-dealer or bank to another
- V•••• F•••••••• A•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 7, 2020, registered Mar 30, 2020 (52 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to V•••• F•••••••• A•••••••• I•••left Sep 19, 2016, registered Oct 12, 2016 (23 days) · Other
Signals
- ••• LockedSep 29, 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address