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

Y•••••• M••••• K•••

E•••• S••••••••• L••BD affiliatedMissouri City, Txdual registrantIAPD 3110889

Feed of 09/14/2026

Also filed as Monita Kuan Lau

At current firm

7 y

since Jan 2, 2019

In the industry

27 y

since Sep 28, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••• S••••••••• L•• BD affiliated current
since Jan 2, 2019 · Missouri City, Tx
P•••• S••••••••• L•• no RAUM
Aug 12, 2016 to Jan 3, 2017 · Houston, Tx
S•••••••• F••••••••• I••• former
Oct 26, 2015 to Jan 13, 2016 · Houston, Tx
M•• F•••••••• S•••••••• I••• former
Jan 2, 2015 to Oct 21, 2015 · Houston, Tx
N•• E•••••• S••••••••• C••••••••• former
Oct 15, 2010 to Jan 2, 2015 · Houston, Tx
A•••••• A••••• F•••••••• P•••••••• L•• unclassified
Jun 3, 2008 to Sep 14, 2010 · Houston, Tx
E•••• N••••••• S••••••••• I••• former
Apr 2, 2008 to Aug 27, 2010 · Houston, Tx
C•••••••• G••••• M•••••• I••• BD affiliated
May 29, 2007 to Dec 21, 2007 · Sugar Land, Tx
C••••••• I••••••••• S••••••• unclassified
May 9, 2005 to May 29, 2007 · San Antonio, Tx
C•••• I••••••••• S••••••• C•••• former
Jan 1, 2002 to May 19, 2004 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to E•••• S••••••••• L••
left Jan 3, 2017, registered Jan 2, 2019 (729 days) · Other
S•••••••• F••••••••• I••• to P•••• S••••••••• L••
left Jan 13, 2016, registered Aug 12, 2016 (212 days) · Other · moved with a team
M•• F•••••••• S•••••••• I••• to S•••••••• F••••••••• I•••
left Oct 21, 2015, registered Oct 26, 2015 (5 days) · Other
N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••
left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
A•••••• A••••• F•••••••• P•••••••• L•• to N•• E•••••• S••••••••• C•••••••••
left Sep 14, 2010, registered Oct 15, 2010 (31 days) · Other
E•••• N••••••• S••••••••• I••• to A•••••• A••••• F•••••••• P•••••••• L••
left Aug 27, 2010, registered Jun 3, 2008 (-815 days) · Other
C•••••••• G••••• M•••••• I••• to E•••• N••••••• S••••••••• I•••
left Dec 21, 2007, registered Apr 2, 2008 (103 days) · Other
C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••
left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
C•••• I••••••••• S••••••• C•••• to C••••••• I••••••••• S•••••••
left May 19, 2004, registered May 9, 2005 (355 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address