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•••• R•••••

S••••• W••••• A•••••••• I•••no RAUMLos Angeles, Cadual registrantIAPD 2124815

Feed of 09/14/2026

At current firm

1 y

since Sep 5, 2025

In the industry

29 y

since Jun 3, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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

S••••• W••••• A•••••••• I••• no RAUM current
since Sep 5, 2025 · Los Angeles, Ca
E••••• J•••• national BD
Aug 28, 2023 to Aug 19, 2025 · El Segundo, Ca
W••••••• F•••••••• S•••••••• I••• former
Dec 12, 2014 to Sep 26, 2023 · Santa Monica, Ca
W•••• F•••• A••••••• wirehouse
Dec 9, 2010 to Jan 28, 2013 · Beverly Hills, Ca
M••••• S•••••• D• I••• unclassified
Feb 7, 2002 to Aug 3, 2005 · Santa Monica, Ca

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to S••••• W••••• A•••••••• I•••
left Aug 19, 2025, registered Sep 5, 2025 (17 days) · Other
W••••••• F•••••••• S•••••••• I••• to E••••• J••••
left Sep 26, 2023, registered Aug 28, 2023 (-29 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to W••••••• F•••••••• S•••••••• I•••
left Jan 28, 2013, registered Dec 12, 2014 (683 days) · Other
M••••• S•••••• D• I••• to W•••• F•••• A•••••••
left Aug 3, 2005, registered Dec 9, 2010 (1954 days) · Other

Signals

K•••• R••••• left E••••• J•••• for S••••• W••••• A•••••••• I••• (registered 2025-09-05)
Aug 19, 2025 · Advisor changed firm · fact
K•••• R••••• left W••••••• F•••••••• S•••••••• I••• for E••••• J•••• (registered 2023-08-28)
Sep 26, 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: No RAUM reportedderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address