DFX Intelligence
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Registered advisor
K•••••••• B•••• F•••••
Feed of 09/15/2026
Also filed as K•••••••• F• F••••••••• F••••••• B••••••••• F••••••• F••••••••• F• B••••••••• B••••••••• F••••••• F••••••••• F••••••• F•••••
At current firm
2 y
since Feb 22, 2024
In the industry
42 y
since Jun 13, 1984 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S65, S63
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••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 22, 2024 · Costa Mesa, Ca
- S••••• A•••••••• L•• independent RIA currentsince Feb 22, 2024 · San Diego, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Mar 5, 2024 · Costa Mesa, Ca
- M•• F•••••••• S•••••••• I••• formerJun 8, 2015 to Mar 25, 2017 · Irvine, Ca
- L•• F•••••••• L•• BD affiliatedNov 14, 2005 to Jun 10, 2015 · San Juan Capistrano, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJul 8, 1997 to Nov 17, 2005 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to S••••• A•••••••• L••left Mar 5, 2024, registered Feb 22, 2024 (-12 days) · corporate re-registration, not a move · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to M•• F•••••••• S•••••••• I•••left Jun 10, 2015, registered Jun 8, 2015 (-2 days) · Other
- A• G• E•••••• • S•••• I••• to L•• F•••••••• L••left Nov 17, 2005, registered Nov 14, 2005 (-3 days) · Other
Signals
- ••• LockedMar 5, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address