DFX Intelligence
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Registered advisor
A••••• K•••••
Feed of 09/14/2026
Also filed as A••• K••••••••• B•••• K••••••••• K••••••••• B• K•••••
At current firm
3 y
since Jul 27, 2023
In the industry
11 y
since Mar 1, 2015 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Jul 27, 2023 · Raleigh, Nc
- W•••• F•••• A••••••• wirehouseSep 14, 2021 to Jul 5, 2023 · Raleigh, Nc
- P•••• S••••••••• L•• no RAUMJan 10, 2018 to Jul 14, 2021 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••• A••••••• S•••••••• I•••left Jul 5, 2023, registered Jul 27, 2023 (22 days) · Wirehouse to affiliated broker-dealer or bank
- P•••• S••••••••• L•• to W•••• F•••• A•••••••left Jul 14, 2021, registered Sep 14, 2021 (62 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedJul 5, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address