DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
K• E•• L••
Feed of 09/14/2026
Also filed as Karen Ban
At current firm
0 y
since Apr 20, 2026
In the industry
23 y
since Dec 27, 2002 (earliest exam, job or registration)
Prior registered firms
9
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 20, 2026 · Cupertino, Ca
- P••• A••••• S••••••••• L•• BD affiliatedJun 6, 2025 to Mar 16, 2026 · Campbell, Ca
- L•• F•••••••• L•• BD affiliatedJul 9, 2014 to Jun 1, 2016 · San Jose, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 17, 2014 · Los Altos, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 4, 2012 to Oct 1, 2012 · Mountain View, Ca
- H••• S••••••••• •••• I••• BD affiliatedFeb 2, 2010 to Apr 4, 2012 · San Jose, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jan 20, 2010 · San Jose, Ca
- C••••••• I••••••••• S••••••• unclassifiedAug 25, 2005 to May 29, 2007 · Sunnyvale, Ca
- M••••• S•••••• D• I••• unclassifiedMar 4, 2004 to Aug 1, 2005 · Menlo P•••, Ca
- P•••• S••••••••• L•• no RAUMNov 18, 2003 to Feb 18, 2004 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 16, 2026, registered Apr 20, 2026 (35 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to P••• A••••• S••••••••• L••left Jun 1, 2016, registered Jun 6, 2025 (3292 days) · Other
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Jul 17, 2014, registered Jul 9, 2014 (-8 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- H••• S••••••••• •••• I••• to C•••• I••••••••• S••••••• C••••left Apr 4, 2012, registered May 4, 2012 (30 days) · Other
- C•••••••• G••••• M•••••• I••• to H••• S••••••••• •••• I•••left Jan 20, 2010, registered Feb 2, 2010 (13 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C••••••• I••••••••• S•••••••left Aug 1, 2005, registered Aug 25, 2005 (24 days) · Other
- P•••• S••••••••• L•• to M••••• S•••••• D• I•••left Feb 18, 2004, registered Mar 4, 2004 (15 days) · Other
Signals
- K• E•• L•• left P••• A••••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-04-20)Mar 16, 2026 · 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address