DFX Intelligence
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Registered advisor
K•••• S•• C•••
Feed of 09/15/2026
Also filed as A••• C•••
At current firm
2 y
since Dec 5, 2023
In the industry
19 y
since Oct 1, 2006 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- W•••• F•••• A••••••• wirehouse currentsince Dec 5, 2023 · Pasadena, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 10, 2020 to Nov 16, 2023 · Los Angeles, Ca
- M•••• A•••• W••••• M••••••••• •••• I••• unclassifiedMar 14, 2017 to Feb 4, 2020 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to W•••• F•••• A•••••••left Nov 16, 2023, registered Dec 5, 2023 (19 days) · Affiliated broker-dealer or bank to wirehouse
- M•••• A•••• W••••• M••••••••• •••• I••• to C••••• I••••••••• A••••••• L••left Feb 4, 2020, registered Sep 10, 2020 (219 days) · Other
Signals
- ••• LockedNov 16, 2023 · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address