DFX Intelligence
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Registered advisor
K•••••• M••••
Feed of 09/15/2026
At current firm
1 y
since Mar 31, 2025
In the industry
10 y
since Aug 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Nashville, Tn
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 26, 2024 to Mar 31, 2025 · Franklin, Tn
- M••••• S•••••• wirehouseFeb 27, 2019 to Aug 12, 2024 · Deerfield, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 3, 2017 to Feb 22, 2019 · Northbrook, Il
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 12, 2024, registered Aug 26, 2024 (14 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Feb 22, 2019, registered Feb 27, 2019 (5 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedAug 12, 2024 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address