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

F•••• J••••••• K•••

P•••• C•••••• F••••••••mixed wealthWalnut Creek, Ca IA-onlyIAPD 4572241

Certified Financial Planner

Feed of 09/15/2026

At current firm

2 y

since Aug 2, 2024

In the industry

23 y

since Nov 13, 2002 (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•••• C•••••• F•••••••• mixed wealth current
since Aug 2, 2024 · Walnut Creek, Ca
E•••••• F•••••••• E•••••• independent RIA
Nov 1, 2018 to Aug 29, 2024 · Walnut Creek, Ca
E•••••• F•••••••• S•••••••• L•• former
May 21, 2012 to Nov 1, 2018 · Walnut Creek, Ca
S•••••••• A••••••• L•• national BD
Jun 27, 2006 to Apr 25, 2012 · Berkeley, Ca
M•• I•••••••• S•••••••• L•• BD affiliated
Jan 2, 2004 to Sep 3, 2004 · San Jose, Ca
W•••••• • R••• former
Nov 14, 2002 to Dec 8, 2003 · Dublin, Ca

Moves

a registration end followed by a registration begin elsewhere

E•••••• F•••••••• E•••••• to P•••• C•••••• F••••••••
left Aug 29, 2024, registered Aug 2, 2024 (-27 days) · RIA to RIA
E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••
left Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
S•••••••• A••••••• L•• to E•••••• F•••••••• S•••••••• L••
left Apr 25, 2012, registered May 21, 2012 (26 days) · Other
M•• I•••••••• S•••••••• L•• to S•••••••• A••••••• L••
left Sep 3, 2004, registered Jun 27, 2006 (662 days) · Other
W•••••• • R••• to M•• I•••••••• S•••••••• L••
left Dec 8, 2003, registered Jan 2, 2004 (25 days) · Other

Signals

F•••• J••••••• K••• left E•••••• F•••••••• E•••••• for P•••• C•••••• F•••••••• (registered 2024-08-02)
Aug 29, 2024 · 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: Wealth manager with institutional or fund businessderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address