DFX Intelligence
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Registered advisor
K••• C••••
Feed of 09/14/2026
Also filed as K••• C• C••••••••• C••••• C••••
At current firm
1 y
since Oct 21, 2024
In the industry
14 y
since Jul 1, 2012 (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
2
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 21, 2024 · El Segundo, Ca
- L•• F•••••••• L•• BD affiliatedApr 19, 2022 to Oct 28, 2024 · El Segundo, Ca
- W•••• F•••• A••••••• wirehouseOct 29, 2020 to Apr 13, 2022 · Santa Monica, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 28, 2024, registered Oct 21, 2024 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to L•• F•••••••• L••left Apr 13, 2022, registered Apr 19, 2022 (6 days) · Wirehouse to independent RIA
Signals
- ••• LockedOct 28, 2024 · Advisor changed firm · fact
- ••• LockedApr 13, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address