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

C••••••• K•••••• K••

P••• A••••• S••••••••• L••BD affiliatedOrange, Cadual registrantIAPD 4338368

Feed of 09/14/2026

At current firm

0 y

since Jun 26, 2026

In the industry

25 y

since Mar 22, 2001 (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

P••• A••••• S••••••••• L•• BD affiliated current
since Jun 26, 2026 · Orange, Ca
L•• E••••••••• L•• BD affiliated
Nov 14, 2024 to Apr 23, 2025 · Orange, Ca
P•••• S••••••••• L•• no RAUM
Mar 20, 2012 to Nov 14, 2024 · Omaha, Ne
O••••••••• S••••••••• I••• BD affiliated
May 5, 2010 to Aug 16, 2011 · Indianapolis, In
E•••••••• A•••••••• L•• national BD
Apr 11, 2001 to Apr 6, 2010 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

L•• E••••••••• L•• to P••• A••••• S••••••••• L••
left Apr 23, 2025, registered Jun 26, 2026 (429 days) · Affiliated broker-dealer or bank to another
P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
O••••••••• S••••••••• I••• to P•••• S••••••••• L••
left Aug 16, 2011, registered Mar 20, 2012 (217 days) · Other
E•••••••• A•••••••• L•• to O••••••••• S••••••••• I•••
left Apr 6, 2010, registered May 5, 2010 (29 days) · Other

Signals

C••••••• K•••••• K•• left L•• E••••••••• L•• for P••• A••••• S••••••••• L•• (registered 2026-06-26)
Apr 23, 2025 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address