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

T•••••• L••• K••••

W••••••••• A••••••• P••••••• L••BD affiliatedHuntington Beach, Ca IA-onlyIAPD 2180740

Feed of 09/14/2026

Also filed as T•••••• L••• K••••

At current firm

3 y

since Apr 17, 2023

In the industry

34 y

since Jan 16, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W••••••••• A••••••• P••••••• L•• BD affiliated current
since Apr 17, 2023 · Huntington Beach, Ca
A••• A•••••••• L•• independent RIA
Dec 4, 2020 to Apr 18, 2023 · Beverly Hills, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 2, 2012 to Dec 8, 2020 · Los Angeles, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 8, 1997 to Apr 26, 2005 · Beverly Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

A••• A•••••••• L•• to W••••••••• A••••••• P••••••• L••
left Apr 18, 2023, registered Apr 17, 2023 (-1 days) · RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••• A•••••••• L••
left Dec 8, 2020, registered Dec 4, 2020 (-4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 26, 2005, registered Oct 2, 2012 (2716 days) · Other

Signals

T•••••• L••• K•••• left A••• A•••••••• L•• for W••••••••• A••••••• P••••••• L•• (registered 2023-04-17)
Apr 18, 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address