DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
M•••••• A••• K••••••
As of · the IAPD feed; also filed as M•••••• A••• K••••••••• K••••••
- At current firm
- 3 y
- In the industry
- 14 y
- Prior registered firms
- 1
- Signals
- 1
since Aug 16, 2023
As of · the IAPD feed; also filed as M•••••• A••• K••••••••• K••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Aug 16, 2023 · Westlake, Tx
- W•••• F•••• A••••••• wirehouseOct 7, 2019 to Oct 18, 2022 · Union City, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Oct 18, 2022, registered Aug 16, 2023 (302 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedOct 18, 2022 · 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.
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote