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

O••••• J••• J••••• K••••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseLa Jolla, Cadual registrantIAPD 2573821

Feed of 09/14/2026

Also filed as O••••• J K••••••

At current firm

2 y

since May 24, 2024

In the industry

27 y

since Jun 21, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since May 24, 2024 · La Jolla, Ca
W•••• F•••• A••••••• wirehouse
Jul 15, 2022 to May 30, 2024 · La Jolla, Ca
E•••••• C•••••• M••••••••• L•• former
Dec 7, 2010 to Aug 3, 2022 · Arlington, Va
C•••••• S••••• • C••• I••• national BD
Sep 4, 2008 to Nov 26, 2010 · Corte Madera, Ca
A••••••••• A•••••• S•••••••• I••• unclassified
Mar 20, 2007 to Aug 13, 2008 · San Diego, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Apr 6, 2001 to Jan 20, 2006 · La Jolla, Ca

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 30, 2024, registered May 24, 2024 (-6 days) · Wirehouse to wirehouse · moved with a team
E•••••• C•••••• M••••••••• L•• to W•••• F•••• A•••••••
left Aug 3, 2022, registered Jul 15, 2022 (-19 days) · RIA to wirehouse
C•••••• S••••• • C••• I••• to E•••••• C•••••• M••••••••• L••
left Nov 26, 2010, registered Dec 7, 2010 (11 days) · Other
A••••••••• A•••••• S•••••••• I••• to C•••••• S••••• • C••• I•••
left Aug 13, 2008, registered Sep 4, 2008 (22 days) · Other
C•••••••• G••••• M•••••• I••• to A••••••••• A•••••• S•••••••• I•••
left Jan 20, 2006, registered Mar 20, 2007 (424 days) · Other

Signals

O••••• J••• J••••• K•••••• left W•••• F•••• A••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-05-24)
May 30, 2024 · a•••••• firm change · fact
O••••• J••• J••••• K•••••• left E•••••• C•••••• M••••••••• L•• for W•••• F•••• A••••••• (registered 2022-07-15)
Aug 3, 2022 · a•••••• firm change · 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: Wirehousederived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address