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
K•••• M•••••• T•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
2 y
since Oct 3, 2023
In the industry
35 y
since Nov 5, 1990 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 3, 2023 · Newbury Park, Ca
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Oct 6, 2023 · Newbury Park, Ca
- S•••••••• F••••••••• I••• formerJan 10, 2013 to Sep 1, 2023 · Newbury Park, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedDec 12, 2008 to Jan 3, 2013 · Kirkland, Wa
- E•••••••• A••••••• I•• unclassifiedOct 16, 2000 to Dec 26, 2008 · Bellevue, Wa
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to K••••• A••••••• S•••••••• L••left Oct 6, 2023, registered Oct 3, 2023 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- I••••••••• F•••••••• G••••• L•• to S•••••••• F••••••••• I•••left Jan 3, 2013, registered Jan 10, 2013 (7 days) · Other
- E•••••••• A••••••• I•• to I••••••••• F•••••••• G••••• L••left Dec 26, 2008, registered Dec 12, 2008 (-14 days) · Other
Signals
- K•••• M•••••• T••••• left O•••• W•••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2023-10-03)Oct 6, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address