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.
Registered advisor
D••••• K•••••
Feed of 09/14/2026
Also filed as D••••• T••••• R••••••• K••••••••• T• K••••••••• K••••••••• T••••• K•••••
At current firm
1 y
since Sep 15, 2025
In the industry
12 y
since Mar 1, 2014 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Sep 15, 2025 · New York, Ny
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Aug 25, 2025 · Jersey City, Nj
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 16, 2021 to Mar 31, 2025 · Salt Lake City, Ut
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 10, 2021 to Mar 24, 2021 · Chandler, Az
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••left Aug 25, 2025, registered Sep 15, 2025 (21 days) · Affiliated broker-dealer or bank to another · moved with a team
- 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 Mar 24, 2021, registered Jul 16, 2021 (114 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedAug 25, 2025 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address