DFX Intelligence
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Registered advisor
A••• N• K••••
Feed of 09/14/2026
Also filed as A••• K••••••••• N•••••••• K••••••••• N• K••••
At current firm
1 y
since May 8, 2025
In the industry
10 y
since Jun 1, 2016 (earliest exam, job or registration)
Prior registered firms
5
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
- J••• M••••• S••••••••• L•• wirehouse currentsince May 8, 2025 · Chicago, Il
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Apr 15, 2025 · Boston, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 16, 2021 to Mar 31, 2025 · Chicago, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 14, 2019 to Dec 31, 2020 · Park Ridge, Il
- T• A••••••••• I••• formerMar 14, 2019 to Jan 11, 2021 · Park Ridge, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 28, 2018 to Mar 4, 2019 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to J••• M••••• S••••••••• L••left Apr 15, 2025, registered May 8, 2025 (23 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- 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
- T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 11, 2021, registered Apr 16, 2021 (95 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Mar 14, 2019 (-658 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 4, 2019, registered Mar 14, 2019 (10 days) · Wirehouse to independent RIA
Signals
- ••• LockedApr 15, 2025 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
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