DFX Intelligence
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Registered advisor
K•••• V•••••••
Feed of 09/14/2026
Also filed as K•••• V••••••••• A••••• V••••••••• A• V••••••
At current firm
1 y
since Jan 16, 2025
In the industry
11 y
since Jun 23, 2015 (earliest exam, job or registration)
Prior registered firms
5
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
3
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 16, 2025 · Annapolis, Md
- A••••••••• F•••••••• S•••••••• L•• national BDDec 18, 2023 to Jan 21, 2025 · Annapolis, Md
- J••• M••••• S••••••••• L•• wirehouseMar 20, 2023 to Dec 16, 2023 · Prince Frederick, Md
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 19, 2019 to Mar 8, 2023 · Annapolis, Md
- P•• W••••• M••••••••• BD affiliatedAug 9, 2016 to Jan 9, 2018 · Waldorf, Md
- E••••• J•••• national BDSep 2, 2015 to May 27, 2016 · Tempe, Az
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jan 21, 2025, registered Jan 16, 2025 (-5 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 16, 2023, registered Dec 18, 2023 (2 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to J••• M••••• S••••••••• L••left Mar 8, 2023, registered Mar 20, 2023 (12 days) · Affiliated broker-dealer or bank to wirehouse
- P•• W••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 9, 2018, registered Feb 19, 2019 (406 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to P•• W••••• M•••••••••left May 27, 2016, registered Aug 9, 2016 (74 days) · Other
Signals
- ••• LockedJan 21, 2025 · Advisor changed firm · fact
- ••• LockedDec 16, 2023 · Advisor changed firm · fact
- ••• LockedMar 8, 2023 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address