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

L••••••• K•••• A••••

R•••••• J•••• • A••••••••• I•••national BDAnaheim, Ca dual registrantIAPD 4272006

Feed of 09/15/2026

Also filed as L••••••• K•••• Dorsett

At current firm

3 y

since Apr 24, 2023

In the industry

14 y

since Feb 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• • A••••••••• I••• national BD current
since Apr 24, 2023 · Anaheim, Ca
U•• F•••••••• S••••••• I••• wirehouse
Oct 11, 2018 to Apr 24, 2023 · Brea, Ca
M••••• S•••••• wirehouse
Jan 11, 2018 to Sep 25, 2018 · Irvine, Ca
C•••••• S••••• • C••• I••• national BD
Nov 22, 2016 to Nov 27, 2017 · Newport Beach, Ca
U•• F•••••••• S••••••• I••• wirehouse
Dec 28, 2015 to Nov 8, 2016 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Apr 24, 2023, registered Apr 24, 2023 (0 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to U•• F•••••••• S••••••• I•••
left Sep 25, 2018, registered Oct 11, 2018 (16 days) · Wirehouse to wirehouse · moved with a team
C•••••• S••••• • C••• I••• to M••••• S••••••
left Nov 27, 2017, registered Jan 11, 2018 (45 days) · Affiliated broker-dealer or bank to wirehouse
U•• F•••••••• S••••••• I••• to C•••••• S••••• • C••• I•••
left Nov 8, 2016, registered Nov 22, 2016 (14 days) · Wirehouse to affiliated broker-dealer or bank

Signals

L••••••• K•••• A•••• left U•• F•••••••• S••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2023-04-24)
Apr 24, 2023 · 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: National broker-dealer RIAderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address