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•••• S•••••••

A••••••• F••••••••• L•••BD affiliatedChico, Ca dual registrantIAPD 3015638

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as K•••• Charles S•••••••

At current firm

1 y

since Dec 9, 2024

In the industry

26 y

since Aug 9, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••• F••••••••• L••• BD affiliated current
since Dec 9, 2024 · Chico, Ca
R••• W••••• M••••••••• former
Aug 9, 2018 to Mar 31, 2025 · Yuba City, Ca
O•••• W•••••• I••• BD affiliated
Jan 20, 2016 to Dec 4, 2024 · Yuba City, Ca
O•••• F•• I••• former
Sep 18, 2014 to Jan 25, 2016 · Chico, Ca
L••••• B• D••••• unclassified
Mar 25, 2010 to May 2, 2015 · Chico, Ca
C•••••••• F•••••••• G•••• A••••••• former
Mar 18, 2009 to Jan 28, 2010 · Chico, Ca
L••••• B• D••••• unclassified
Jan 2, 2009 to Dec 31, 2009 · Chico, Ca
L•• F•••••••• L•• BD affiliated
Jan 12, 2007 to Feb 12, 2009 · Chico, Ca
M•• I•••••••• S•••••••• L•• BD affiliated
Oct 25, 2005 to Jan 18, 2007 · Chico, Ca

Moves

a registration end followed by a registration begin elsewhere

R••• W••••• M••••••••• to A••••••• F••••••••• L•••
left Mar 31, 2025, registered Dec 9, 2024 (-112 days) · RIA to affiliated broker-dealer or bank · moved with a team
O•••• W•••••• I••• to R••• W••••• M•••••••••
left Dec 4, 2024, registered Aug 9, 2018 (-2309 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
O•••• F•• I••• to O•••• W•••••• I•••
left Jan 25, 2016, registered Jan 20, 2016 (-5 days) · Other
L••••• B• D••••• to O•••• F•• I•••
left May 2, 2015, registered Sep 18, 2014 (-226 days) · Other
C•••••••• F•••••••• G•••• A••••••• to L••••• B• D•••••
left Jan 28, 2010, registered Mar 25, 2010 (56 days) · Other
L••••• B• D••••• to C•••••••• F•••••••• G•••• A•••••••
left Dec 31, 2009, registered Mar 18, 2009 (-288 days) · Other
L•• F•••••••• L•• to L••••• B• D•••••
left Feb 12, 2009, registered Jan 2, 2009 (-41 days) · Other
M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••
left Jan 18, 2007, registered Jan 12, 2007 (-6 days) · Other

Signals

K•••• S••••••• left R••• W••••• M••••••••• for A••••••• F••••••••• L••• (registered 2024-12-09)
Mar 31, 2025 · Advisor changed firm · fact
K•••• S••••••• left O•••• W•••••• I••• for R••• W••••• M••••••••• (registered 2018-08-09)
Dec 4, 2024 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address