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.
Registered advisor
Patricia Margaret Kappen
Feed of 09/15/2026
Also filed as Patricia Margaret Holohan
At current firm
8 y
since Feb 23, 2018
In the industry
27 y
since May 17, 1999 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
8
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Centaurus Financial, Inc. BD affiliated currentsince Feb 23, 2018 · Westlake Village, Ca
- Western International Securities formerAug 21, 2017 to Feb 23, 2018 · San Juan Capistrano, Ca
- Financial West Group formerNov 17, 2011 to Aug 21, 2017 · San Juan Capistrano, Ca
- Torrey Pines Securities, Inc. unclassifiedSep 7, 2010 to Nov 21, 2011 · San Juan Capistrano, Ca
- Cooper Mcmanus independent RIADec 7, 2009 to Sep 15, 2010 · Irvine, Ca
- Girard Securities, Inc. formerSep 21, 2006 to Dec 4, 2009 · Orange, Ca
- Investors Capital Advisory formerJun 9, 2006 to Sep 28, 2006 · San Juan Capistran, Ca
- Waddell & Reed formerNov 7, 2003 to Sep 28, 2005 · Costa Mesa, Ca
Moves
a registration end followed by a registration begin elsewhere
- Western International Securities to Centaurus Financial, Inc.left Feb 23, 2018, registered Feb 23, 2018 (0 days) · Other
- Financial West Group to Western International Securitiesleft Aug 21, 2017, registered Aug 21, 2017 (0 days) · corporate re-registration, not a move
- Torrey Pines Securities, Inc. to Financial West Groupleft Nov 21, 2011, registered Nov 17, 2011 (-4 days) · Other
- Cooper Mcmanus to Torrey Pines Securities, Inc.left Sep 15, 2010, registered Sep 7, 2010 (-8 days) · Other
- Girard Securities, Inc. to Cooper Mcmanusleft Dec 4, 2009, registered Dec 7, 2009 (3 days) · Other
- Investors Capital Advisory to Girard Securities, Inc.left Sep 28, 2006, registered Sep 21, 2006 (-7 days) · Other
- Waddell & Reed to Investors Capital Advisoryleft Sep 28, 2005, registered Jun 9, 2006 (254 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