DFX Intelligence
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Registered advisor
N••••• K••••••••
Feed of 09/15/2026
At current firm
2 y
since Aug 8, 2024
In the industry
12 y
since May 1, 2014 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 8, 2024 · Fremont, Ca
- U•• F•••••••• S••••••• I••• wirehouseNov 7, 2023 to Aug 1, 2024 · Palo Alto, Ca
- J••• M••••• S••••••••• L•• wirehouseSep 28, 2022 to Jul 5, 2023 · San Francisco, Ca
- M••••• S•••••• wirehouseApr 10, 2020 to Sep 21, 2022 · San Mateo, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 30, 2018 to Apr 6, 2020 · Palo Alto, Ca
- W•••• F•••• A••••••• wirehouseSep 28, 2017 to Feb 2, 2018 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 1, 2024, registered Aug 8, 2024 (7 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Jul 5, 2023, registered Nov 7, 2023 (125 days) · Wirehouse to wirehouse
- M••••• S•••••• to J••• M••••• S••••••••• L••left Sep 21, 2022, registered Sep 28, 2022 (7 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Apr 6, 2020, registered Apr 10, 2020 (4 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Feb 2, 2018, registered Jan 30, 2018 (-3 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedAug 1, 2024 · Advisor changed firm · fact
- ••• LockedJul 5, 2023 · Advisor changed firm · fact
- ••• LockedSep 21, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address