DFX Intelligence
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Registered advisor
P••••• J••• K•••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
At current firm
14 y
since Feb 17, 2012
In the industry
25 y
since Mar 29, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince Feb 17, 2012 · Torrance, Ca
- P•••• W••••• M••••••••• I••• unclassifiedJan 3, 2011 to Dec 4, 2023 · Newport Beach, Ca
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedAug 21, 2002 to Jun 26, 2006 · Torrance, Ca
- L•• F•••••••• L•• BD affiliatedOct 25, 2001 to Jul 11, 2002 · Torrance, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••• W••••• M••••••••• I••• to L•• F•••••••• L••left Dec 4, 2023, registered Feb 17, 2012 (-4308 days) · Other · moved with a team
- A••••••••• P••••••• I••••••••• A••••••• I•• to P•••• W••••• M••••••••• I•••left Jun 26, 2006, registered Jan 3, 2011 (1652 days) · Other
- L•• F•••••••• L•• to A••••••••• P••••••• I••••••••• A••••••• I••left Jul 11, 2002, registered Aug 21, 2002 (41 days) · Other
Signals
- ••• LockedDec 4, 2023 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address