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

D•••• J••• K•••••

C••••• I••••••••• A••••••• L••BD affiliatedHonolulu, Hidual registrantIAPD 3159954

Feed of 09/14/2026

Also filed as D•••• J••• K•••••

At current firm

2 y

since Apr 1, 2024

In the industry

27 y

since Jan 20, 1999 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Apr 1, 2024 · Honolulu, Hi
C••• F•••••••• S•••••••• L••• former
Aug 19, 2013 to Mar 28, 2024 · San Diego, Ca
U••••••••• W••••• M••••••••• L•• independent RIA
Feb 13, 2013 to Apr 3, 2014 · Honolulu, Hi
E••••• J•••• national BD
Jun 15, 2012 to Dec 21, 2012 · Honolulu, Hi
A••••••• F•••••••• A•••••••• L•• BD affiliated
Aug 23, 2010 to Apr 23, 2012 · Honolulu, Hi
L•• F•••••••• L•• BD affiliated
Jun 4, 2004 to May 6, 2010 · Honolulu, Hi
C••••• A•••••• N••••••• L•• former
Oct 20, 2000 to Jun 17, 2004 · Honolulu, Hi

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to C••••• I••••••••• A••••••• L••
left Mar 28, 2024, registered Apr 1, 2024 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
U••••••••• W••••• M••••••••• L•• to C••• F•••••••• S•••••••• L•••
left Apr 3, 2014, registered Aug 19, 2013 (-227 days) · Other
E••••• J•••• to U••••••••• W••••• M••••••••• L••
left Dec 21, 2012, registered Feb 13, 2013 (54 days) · Affiliated broker-dealer or bank to a newly registered adviser
A••••••• F•••••••• A•••••••• L•• to E••••• J••••
left Apr 23, 2012, registered Jun 15, 2012 (53 days) · Other
L•• F•••••••• L•• to A••••••• F•••••••• A•••••••• L••
left May 6, 2010, registered Aug 23, 2010 (109 days) · Other
C••••• A•••••• N••••••• L•• to L•• F•••••••• L••
left Jun 17, 2004, registered Jun 4, 2004 (-13 days) · Other

Signals

D•••• J••• K••••• left C••• F•••••••• S•••••••• L••• for C••••• I••••••••• A••••••• L•• (registered 2024-04-01)
Mar 28, 2024 · a•••••• firm change · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address