DFX Intelligence
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Registered advisor
K•••• L• C•••••
Chartered Financial Analyst
Feed of 09/14/2026
Also filed as K•••• C•••••
At current firm
2 y
since Sep 10, 2024
In the industry
10 y
since Jun 1, 2016 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Sep 10, 2024 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseOct 5, 2023 to Sep 26, 2024 · Paramus, Nj
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Sep 26, 2024, registered Sep 10, 2024 (-16 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedSep 26, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
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