DFX Intelligence
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Registered advisor
K•••• P• C••••
Feed of 09/14/2026
Also filed as K•••• P••••••• C••••
At current firm
1 y
since Mar 31, 2025
In the industry
23 y
since Oct 23, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Jose, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 27, 2020 to Mar 31, 2025 · Sunnyvale, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 6, 2015 to Mar 5, 2020 · San Jose, Ca
- F••••• I••••••••• independent RIASep 12, 2006 to Feb 19, 2008 · Plano, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDOct 23, 2002 to Jul 20, 2006 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 5, 2020, registered Mar 27, 2020 (22 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- F••••• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 19, 2008, registered Feb 6, 2015 (2544 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to F••••• I•••••••••left Jul 20, 2006, registered Sep 12, 2006 (54 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address