DFX Intelligence
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Registered advisor
G•••••• L••• K•••••••••
S•••••••• R•••••••• C•••••• M••••••••• L••independent RIANewport Beach, Cadual registrantIAPD 2647114
Feed of 09/23/2026
Also filed as G•••••• L• K•••••••••
At current firm
0 y
since Sep 22, 2026
In the industry
30 y
since Oct 31, 1995 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• R•••••••• C•••••• M••••••••• L•• independent RIA currentsince Sep 22, 2026 · Newport Beach, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 12, 2016 to Nov 3, 2025 · Irvine, Ca
- S•••••••• R•••••••• C•••••• M••••••••• L•• independent RIAJun 8, 2007 to Aug 24, 2015 · Irvine, Ca
- S••••••• I••••••••• I••• formerAug 6, 1999 to Oct 13, 2014 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to S•••••••• R•••••••• C•••••• M••••••••• L••left Nov 3, 2025, registered Sep 22, 2026 (323 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• R•••••••• C•••••• M••••••••• L•• to M•• I•••••••• S•••••••• L••left Aug 24, 2015, registered Jan 12, 2016 (141 days) · Other
- S••••••• I••••••••• I••• to S•••••••• R•••••••• C•••••• M••••••••• L••left Oct 13, 2014, registered Jun 8, 2007 (-2684 days) · Other
Signals
- ••• LockedSep 22, 2026 · Advisor registered · fact
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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address