DFX Intelligence
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Registered advisor
A••••• H••••• K••••••
Feed of 09/14/2026
Also filed as A••• K••••••
At current firm
3 y
since Aug 21, 2023
In the industry
33 y
since Mar 22, 1993 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- B•••••• I••••••••• C••••••••• state registered currentsince Aug 21, 2023 · Ventura, Ca
- B•••••• I••••••••• C••••••••• C•••••• unclassifiedAug 9, 2019 to Nov 5, 2023 · Santa Paula, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 15, 2016 to Aug 1, 2019 · Oxnard, Ca
- S•• W••••• I••••••••• A••••••• unclassifiedMar 4, 2013 to Aug 8, 2014 · Ventura, Ca
- M••••• S•••••• wirehouseSep 25, 2012 to Nov 20, 2012 · Oxnard, Ca
- M••••• S•••••• D• I••• unclassifiedNov 2, 1998 to Jul 6, 2005 · Oxnard, Ca
Moves
a registration end followed by a registration begin elsewhere
- B•••••• I••••••••• C••••••••• C•••••• to B•••••• I••••••••• C•••••••••left Nov 5, 2023, registered Aug 21, 2023 (-76 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B•••••• I••••••••• C••••••••• C••••••left Aug 1, 2019, registered Aug 9, 2019 (8 days) · Other
- S•• W••••• I••••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 8, 2014, registered Mar 15, 2016 (585 days) · Other
- M••••• S•••••• to S•• W••••• I••••••••• A•••••••left Nov 20, 2012, registered Mar 4, 2013 (104 days) · Other
- M••••• S•••••• D• I••• to M••••• S••••••left Jul 6, 2005, registered Sep 25, 2012 (2638 days) · Other
Signals
- ••• LockedNov 5, 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
- STATE REGISTEREDderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address