DFX Intelligence
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Registered advisor
C••••••••• K•••
Feed of 09/14/2026
Also filed as C••••••••• W•••••• K••••••••• W•••••• K•••••••• K•••
At current firm
5 y
since May 10, 2021
In the industry
10 y
since Mar 1, 2016 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince May 10, 2021 · Dallas, Tx
- F••••• I••••••••• independent RIANov 19, 2019 to May 5, 2021 · Plano, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 14, 2017 to Nov 30, 2019 · Southlake, Tx
- T• A••••••••• I••• formerSep 14, 2017 to Nov 30, 2019 · Southlake, Tx
- S•••••••• A••••••• L•• national BDNov 17, 2016 to Sep 7, 2017 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••• I••••••••• to J••• M••••• S••••••••• L••left May 5, 2021, registered May 10, 2021 (5 days) · RIA to wirehouse · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to F••••• I•••••••••left Nov 30, 2019, registered Nov 19, 2019 (-11 days) · RIA to RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 30, 2019, registered Sep 14, 2017 (-807 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Sep 7, 2017, registered Sep 14, 2017 (7 days) · Other · moved with a team
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address