DFX 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
R•••••• L•••• K••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as R•••• L•••• K••••••
At current firm
6 y
since Aug 21, 2020
In the industry
32 y
since Jan 5, 1994 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Aug 21, 2020 · Los Gatos, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 26, 2020 · San Jose, Ca
- W•••• F•••• I••••••••• L•• unclassifiedAug 31, 2007 to Jan 3, 2011 · Sunnyvale, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 30, 2004 to Sep 4, 2007 · San Jose, Ca
- A• G• E•••••• • S•••• I••• unclassifiedNov 22, 2002 to Aug 4, 2004 · San Jose, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 6, 1999 to Dec 17, 2002 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Aug 26, 2020, registered Aug 21, 2020 (-5 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Sep 4, 2007, registered Aug 31, 2007 (-4 days) · Other
- A• G• E•••••• • S•••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 4, 2004, registered Jul 30, 2004 (-5 days) · Other
- U•• F•••••••• S••••••• I••• to A• G• E•••••• • S•••• I•••left Dec 17, 2002, registered Nov 22, 2002 (-25 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address