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
S•••••• P• K•••••
Feed of 09/23/2026
Also filed as S•••• P••• K••••••••• P• K••••••••• P••• K•••••
At current firm
0 y
since Jul 9, 2026
In the industry
32 y
since Mar 14, 1994 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Jul 9, 2026 · Costa Mesa, Ca
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 3, 2023 · Los Angeles, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDNov 3, 2023 to Sep 22, 2026 · Los Angeles, Ca
- C••••••• S••••••••• formerMar 22, 2004 to Nov 3, 2023 · Los Angeles, Ca
- C••••••• S••••••••• formerMar 22, 2004 to Nov 3, 2023 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to F•••• T•••• S••••••••• I•••left Sep 22, 2026, registered Jul 9, 2026 (-75 days) · corporate re-registration, not a move
- C••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address