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.
K•••••• M••••••••
As of · the IAPD feed; also filed as K•••••• J•••••• R••••••••• J•••••• M••••••••• M••••••••
- At current firm
- 1 y
- In the industry
- 10 y
- Prior registered firms
- 2
- Signals
- 1
since Mar 31, 2025
As of · the IAPD feed; also filed as K•••••• J•••••• R••••••••• J•••••• M••••••••• M••••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Oak Brook, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 28, 2024 to Mar 31, 2025 · Oak Brook, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 5, 2020 to Jan 17, 2024 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 17, 2024, registered Feb 28, 2024 (42 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
Signals
- ••• LockedJan 17, 2024 · Advisor changed firm · fact
Transition signals
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address