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••••••• A•• S•••••

S••••• A•••••••• L••independent RIAPasadena, CaIA-onlyIAPD 2150016

Feed of 09/14/2026

Also filed as K••••••• A•• S•••••L

At current firm

1 y

since Dec 20, 2024

In the industry

35 y

since Jul 16, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••• A•••••••• L•• independent RIA current
since Dec 20, 2024 · Pasadena, Ca
M•• I•••••••• S•••••••• L•• BD affiliated
May 9, 2022 to Dec 20, 2024 · Los Angeles, Ca
V••• F•••••••• A•••••••• I••• BD affiliated
Jan 3, 2011 to Apr 27, 2022 · Los Angeles, Ca
V••• F•••••••• P•••••••• L•• former
Jul 2, 2003 to Jan 3, 2011 · Redlands, Ca

Moves

a registration end followed by a registration begin elsewhere

M•• I•••••••• S•••••••• L•• to S••••• A•••••••• L••
left Dec 20, 2024, registered Dec 20, 2024 (0 days) · Affiliated broker-dealer or bank to independent RIA
V••• F•••••••• A•••••••• I••• to M•• I•••••••• S•••••••• L••
left Apr 27, 2022, registered May 9, 2022 (12 days) · Affiliated broker-dealer or bank to another
V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

K••••••• A•• S••••• left M•• I•••••••• S•••••••• L•• for S••••• A•••••••• L•• (registered 2024-12-20)
Dec 20, 2024 · Advisor changed firm · fact
K••••••• A•• S••••• left V••• F•••••••• A•••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2022-05-09)
Apr 27, 2022 · 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: Independent wealth managerderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address