DFX Intelligence
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Registered advisor
K••••••••• R• S•••
Feed of 09/14/2026
Also filed as K••••••••• R••••• S•••
At current firm
1 y
since Jul 6, 2025
In the industry
10 y
since Jul 1, 2016 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 6, 2025 · San Jose, Ca
- L•• F•••••••• L•• BD affiliatedNov 19, 2020 to Mar 30, 2022 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 30, 2022, registered Jul 6, 2025 (1194 days) · RIA to wirehouse · moved with a team
Signals
- ••• LockedMar 30, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
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