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RIA / WealthAdvisor25 years in industry

DAVID DAEJOON KIM

Advisor at M3 ASSET MANAGEMENT, INC.

PASADENA, CA

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Search this name across graphsid dfx:ria:f64675ad-93db-ab5a-bd72-c42ea1d71f32

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 15, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: M3 ASSET MANAGEMENT, INC.
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 11, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: May 11, 2001
First registration: Jun 15, 2001
Dual registered: no
Other names: DAEJOON KIM
IAPD individual key: 4351580

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
M3 ASSET MANAGEMENT, INC.	Former SEC adviser	Jan 3, 2014	n/a	yes	PASADENA, CA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Dec 7, 2012	Jan 7, 2014	no	LOS ANGELES, CA\|LOS ANGELES, CA\|EL SEGUNDO, CA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Dec 12, 2012	no	LOS ANGELES, CA\|Los Angeles, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	LOS ANGELES, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 2, 2005	Apr 2, 2007	no	LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jun 15, 2001	Sep 22, 2005	no	LOS ANGELES, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	M3 ASSET MANAGEMENT, INC.	Jan 7, 2014	Jan 3, 2014	-4	Firm change	Wirehouse to new firm
MORGAN STANLEY	WELLS FARGO ADVISORS	Dec 12, 2012	Dec 7, 2012	-5	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	MORGAN STANLEY DW INC.	Sep 22, 2005	Sep 2, 2005	-20	Firm change	Other

Relationships

Registered with (6)

→ M3 ASSET MANAGEMENT, INC.Registered adviserregistration: current employment
Jan 3, 2014 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Dec 7, 2012 to Jan 7, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Dec 12, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 2, 2005 to Apr 2, 2007factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jun 15, 2001 to Sep 22, 2005factForm ADV

Dated events

No dated event names this entity yet.