DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

S••••• K•• P•••••••

E•••••••• A•••••••• L••national BDSan Diego, Cadual registrantIAPD 1036324

Feed of 09/14/2026

Also filed as S••••• Kay Wexler

At current firm

0 y

since Jul 27, 2026

In the industry

39 y

since Jan 1, 1987 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••••• A•••••••• L•• national BD current
since Jul 27, 2026 · San Diego, Ca
S••••••• F•••••••• A•••••••• I••• unclassified
May 11, 2006 to Jul 23, 2026 · Poway, Ca
C••••••••• C•••••••• A••••••• unclassified
Sep 22, 1999 to May 15, 2006 · San Diego, Ca
L•• F•••••••• L•• BD affiliated
Jan 7, 1999 to Aug 12, 2026 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C••••••••• C•••••••• A•••••••
left Aug 12, 2026, registered Sep 22, 1999 (-9821 days) · Other · moved with a team
S••••••• F•••••••• A•••••••• I••• to E•••••••• A•••••••• L••
left Jul 23, 2026, registered Jul 27, 2026 (4 days) · Other · moved with a team
C••••••••• C•••••••• A••••••• to S••••••• F•••••••• A•••••••• I•••
left May 15, 2006, registered May 11, 2006 (-4 days) · Other

Signals

S••••• K•• P••••••• left L•• F•••••••• L•• for C••••••••• C•••••••• A••••••• (registered 1999-09-22)
Aug 12, 2026 · Advisor changed firm · fact
S••••• K•• P••••••• left S••••••• F•••••••• A•••••••• I••• for E•••••••• A•••••••• L•• (registered 2026-07-27)
Jul 23, 2026 · 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: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address