DFX Intelligence
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Registered advisor
K•••• M•••••••••
Feed of 09/14/2026
Also filed as K•••• M••••••••• A••• L• L• M••••••••• A• M••••••••• A••• L• M•••••••••
At current firm
2 y
since Sep 17, 2024
In the industry
10 y
since Feb 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
2
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Sep 17, 2024 · Denver, Co
- C•••••• S••••• • C••• I••• national BDJan 13, 2023 to Mar 31, 2024 · San Francisco, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 26, 2021 to Nov 7, 2022 · Albuquerque, Nm
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 19, 2019 to Sep 20, 2021 · Albuquerque, Nm
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••left Mar 31, 2024, registered Sep 17, 2024 (170 days) · Affiliated broker-dealer or bank to wirehouse
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Nov 7, 2022, registered Jan 13, 2023 (67 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 20, 2021, registered Oct 26, 2021 (36 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedMar 31, 2024 · Advisor changed firm · fact
- ••• LockedNov 7, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The 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.
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