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

K••• P••••••••

W•••• F•••• A•••••••wirehouseLos Angeles, Cadual registrantIAPD 1453775

Feed of 09/14/2026

Also filed as Kap P••••••••

At current firm

2 y

since Jun 4, 2024

In the industry

38 y

since Feb 11, 1988 (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

W•••• F•••• A••••••• wirehouse current
since Jun 4, 2024 · Los Angeles, Ca
W•••••• S••••••••• I••• BD affiliated
May 26, 2016 to Jun 7, 2024 · Los Angeles, Ca
J••• M••••• S••••••••• L•• wirehouse
Jun 12, 2009 to May 12, 2016 · Los Angeles, Ca
U•• F•••••••• S••••••• I••• wirehouse
Jun 14, 2002 to Jul 1, 2009 · Los Angeles, Ca
C••• W•••• M•••••• C•••• unclassified
Dec 15, 1997 to Jun 18, 2002 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

W•••••• S••••••••• I••• to W•••• F•••• A•••••••
left Jun 7, 2024, registered Jun 4, 2024 (-3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
J••• M••••• S••••••••• L•• to W•••••• S••••••••• I•••
left May 12, 2016, registered May 26, 2016 (14 days) · Other
U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••
left Jul 1, 2009, registered Jun 12, 2009 (-19 days) · Wirehouse to wirehouse
C••• W•••• M•••••• C•••• to U•• F•••••••• S••••••• I•••
left Jun 18, 2002, registered Jun 14, 2002 (-4 days) · Other

Signals

K••• P•••••••• left W•••••• S••••••••• I••• for W•••• F•••• A••••••• (registered 2024-06-04)
Jun 7, 2024 · 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: Wirehousederived
Years in industry: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address