DFX Intelligence
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Registered advisor
R••• W• K•••••••••
Feed of 09/14/2026
Also filed as R••• W•••••• D••••• K••••••••• W•••••• D••••• K•••••••••
At current firm
2 y
since Oct 26, 2023
In the industry
11 y
since May 1, 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
S63, 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
- E••••• J•••• national BD currentsince Oct 26, 2023 · St. Louis, Mo
- C•••••• S••••• • C••• I••• national BDSep 30, 2022 to Nov 3, 2023 · St Louis, Mo
- T• A••••••••• I••• formerFeb 27, 2018 to Oct 14, 2022 · St Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Jun 14, 2018 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerSep 5, 2017 to Feb 26, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to E••••• J••••left Nov 3, 2023, registered Oct 26, 2023 (-8 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Sep 30, 2022 (-14 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 14, 2018, registered Feb 27, 2018 (-107 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedNov 3, 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
- 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