DFX Intelligence
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Registered advisor
K•••• J•••• A••••••••
Feed of 09/14/2026
At current firm
2 y
since Jan 19, 2024
In the industry
30 y
since Sep 20, 1996 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · El Cajon, Ca
- W••••••• F•••••••• S•••••••• I••• formerSep 27, 2013 to Jan 19, 2024 · El Cajon, Ca
- L•• F•••••••• L•• BD affiliatedJan 17, 2013 to Sep 4, 2013 · Irvine, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Dec 19, 2012 · El Cajon, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 3, 2010 to Oct 1, 2012 · El Cajon, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 1, 2010 · San Diego, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 8, 2009 to Oct 23, 2009 · El Cajon, Ca
- W••• I••••••••• I••• unclassifiedFeb 21, 2006 to Jan 20, 2009 · Lakeside, Ca
Moves
a registration end followed by a registration begin elsewhere
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Sep 4, 2013, registered Sep 27, 2013 (23 days) · Other
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Dec 19, 2012, registered Jan 17, 2013 (29 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Apr 1, 2010, registered May 3, 2010 (32 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jan 20, 2009, registered Jan 8, 2009 (-12 days) · Other
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address