DFX Intelligence
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Registered advisor
M••••• M••••• K•••••••
Feed of 09/14/2026
Also filed as M••••• K••••••••• M••••• K••••••••• K••••••••• M••••• K•••••••
At current firm
1 y
since Nov 11, 2024
In the industry
11 y
since Feb 1, 2015 (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, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Nov 11, 2024 · St. Louis, Mo
- J••• M••••• S••••••••• L•• wirehouseJul 25, 2022 to Nov 17, 2024 · Plano, Tx
- W•••• F•••• A••••••• wirehouseJul 9, 2021 to Jun 16, 2022 · Irving, Tx
- E•••••••• A•••••••• L•• national BDMar 20, 2020 to Oct 12, 2020 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to E••••• J••••left Nov 17, 2024, registered Nov 11, 2024 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Jun 16, 2022, registered Jul 25, 2022 (39 days) · Wirehouse to wirehouse
- E•••••••• A•••••••• L•• to W•••• F•••• A•••••••left Oct 12, 2020, registered Jul 9, 2021 (270 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedNov 17, 2024 · Advisor changed firm · fact
- ••• LockedJun 16, 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address