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

K•••••• A•••••• S••••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedPasadena, Cadual registrantIAPD 2811543

Feed of 09/14/2026

At current firm

0 y

since May 11, 2026

In the industry

29 y

since Nov 26, 1996 (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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since May 11, 2026 · Pasadena, Ca
S••••• I••••••••• A•••••••• L•• BD affiliated
Apr 19, 2022 to May 20, 2026 · Pasadena, Ca
W•••• F•••• A••••••• wirehouse
Jun 5, 2012 to Apr 20, 2022 · Pasadena, Ca
L•• F•••••••• L•• BD affiliated
Feb 22, 2000 to Jun 14, 2012 · Pasadena, Ca

Moves

a registration end followed by a registration begin elsewhere

S••••• I••••••••• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left May 20, 2026, registered May 11, 2026 (-9 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to S••••• I••••••••• A•••••••• L••
left Apr 20, 2022, registered Apr 19, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
L•• F•••••••• L•• to W•••• F•••• A•••••••
left Jun 14, 2012, registered Jun 5, 2012 (-9 days) · Other

Signals

K•••••• A•••••• S•••••• left S••••• I••••••••• A•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-05-11)
May 20, 2026 · Advisor changed firm · fact
K•••••• A•••••• S•••••• left W•••• F•••• A••••••• for S••••• I••••••••• A•••••••• L•• (registered 2022-04-19)
Apr 20, 2022 · Advisor changed firm · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address