DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
D•••• K• K•••••
Feed of 09/14/2026
Also filed as Un Chu Lee
At current firm
3 y
since Jun 9, 2023
In the industry
35 y
since Sep 20, 1991 (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
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
- R•• C•••••• M••••••• L•• national BD currentsince Jun 9, 2023 · San Francisco, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerJul 14, 2010 to Jun 20, 2023 · San Francisco, Ca
- F•••• R••••••• W••••• A•••••••• L•• unclassifiedSep 16, 2008 to Sep 30, 2010 · San Francisco, Ca
- L••••• B••••••• I••• unclassifiedMay 19, 2004 to Sep 18, 2008 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to R•• C•••••• M••••••• L••left Jun 20, 2023, registered Jun 9, 2023 (-11 days) · Affiliated broker-dealer or bank to another
- F•••• R••••••• W••••• A•••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Sep 30, 2010, registered Jul 14, 2010 (-78 days) · Other
- L••••• B••••••• I••• to F•••• R••••••• W••••• A•••••••• L••left Sep 18, 2008, registered Sep 16, 2008 (-2 days) · Other
Signals
- D•••• K• K••••• left J••• M••••• P•••••• W••••• A••••••• L•• for R•• C•••••• M••••••• L•• (registered 2023-06-09)Jun 20, 2023 · 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address