DFX Intelligence
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Registered advisor
J•••• K••••••• S•••••
Feed of 09/14/2026
Also filed as K••••••• S••••••••• K• S•••••••• S••••••• K••••••• S••••••••• S••••••••• S•••••
At current firm
3 y
since Mar 8, 2023
In the industry
13 y
since Oct 1, 2012 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 8, 2023 · Charleston, Sc
- A• W••••• M••••••••• L•• BD affiliatedMar 28, 2022 to Feb 13, 2023 · Johns Island, Sc
Moves
a registration end followed by a registration begin elsewhere
- A• W••••• M••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2023, registered Mar 8, 2023 (23 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedFeb 13, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address