DFX Intelligence
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Registered advisor
R••••• K• K••••••••
Feed of 09/14/2026
At current firm
1 y
since Apr 4, 2025
In the industry
30 y
since Sep 1, 1996 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 4, 2025 · Frisco, Tx
- B• R•••• W••••• A•••••••• I••• BD affiliatedSep 21, 2022 to Apr 7, 2025 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- B• R•••• W••••• A•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 7, 2025, registered Apr 4, 2025 (-3 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address