DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
K•••••• M•••• W•••••
Feed of 09/14/2026
Also filed as K•••••• R••••••••• M•••• R••••••••• M•••• R••••••••• M•••• W•••••
At current firm
1 y
since Jan 1, 2025
In the industry
27 y
since Jan 18, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 1, 2025 · Seal Beach, Ca
- P••• A••••• S••••••••• L•• BD affiliatedOct 20, 2006 to Oct 17, 2007 · Irvine, Ca
- A•••••• A••••••• S••••••• formerApr 26, 2000 to Dec 4, 2002 · Fullerton, Ca
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to L•• F•••••••• L••left Oct 17, 2007, registered Jan 1, 2025 (6286 days) · Other
- A•••••• A••••••• S••••••• to P••• A••••• S••••••••• L••left Dec 4, 2002, registered Oct 20, 2006 (1416 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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