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

D••••• K•• D•••••••••

S••• C•••••• W••••• M••••••••• L••state registeredLadera Ranch, CaIA-onlyIAPD 4664308

Feed of 09/14/2026

At current firm

1 y

since Jan 6, 2025

In the industry

22 y

since Nov 3, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••• C•••••• W••••• M••••••••• L•• state registered current
since Jan 6, 2025 · Ladera Ranch, Ca
U• C•••••• G••••• W••••• M••••••••• L•• state registered
Mar 27, 2019 to May 23, 2020 · Sandiego, Ca
U• C•••••• G••••• W••••• M••••••••• L•• unclassified
Feb 26, 2018 to Aug 24, 2019 · San Diego, Ca
S••• C•••••• M••••••••• unclassified
Feb 5, 2014 to Aug 2, 2024 · Ladera Ranch, Ca
T•••• M••••••••• S•••••••• I••• independent RIA
Mar 13, 2013 to Jun 30, 2016 · La Mesa, Ca
S••• C•••••• M••••••••• unclassified
Feb 13, 2012 to Dec 31, 2013 · Ladera Ranch, Ca
S••• C•••••• M••••••••• unclassified
Feb 8, 2011 to Dec 31, 2011 · Ladera Ranch, Ca
S••• C•••••• M••••••••• unclassified
Sep 9, 2008 to Dec 31, 2010 · Chula Vista, Ca
W••••• A•••••••• I••• former
Feb 9, 2006 to Feb 4, 2009 · Chula Vista, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 4, 2003 to Jan 19, 2006 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

S••• C•••••• M••••••••• to U• C•••••• G••••• W••••• M••••••••• L••
left Aug 2, 2024, registered Feb 26, 2018 (-2349 days) · Other
U• C•••••• G••••• W••••• M••••••••• L•• to S••• C•••••• W••••• M••••••••• L••
left May 23, 2020, registered Jan 6, 2025 (1689 days) · Other
U• C•••••• G••••• W••••• M••••••••• L•• to U• C•••••• G••••• W••••• M••••••••• L••
left Aug 24, 2019, registered Mar 27, 2019 (-150 days) · Other · moved with a team
T•••• M••••••••• S•••••••• I••• to S••• C•••••• M•••••••••
left Jun 30, 2016, registered Feb 5, 2014 (-876 days) · Other
S••• C•••••• M••••••••• to T•••• M••••••••• S•••••••• I•••
left Dec 31, 2013, registered Mar 13, 2013 (-293 days) · Other
W••••• A•••••••• I••• to S••• C•••••• M•••••••••
left Feb 4, 2009, registered Sep 9, 2008 (-148 days) · Other
A••••••••• F•••••••• S•••••••• L•• to W••••• A•••••••• I•••
left Jan 19, 2006, registered Feb 9, 2006 (21 days) · Affiliated broker-dealer or bank to independent RIA

Signals

D••••• K•• D••••••••• left S••• C•••••• M••••••••• for U• C•••••• G••••• W••••• M••••••••• L•• (registered 2018-02-26)
Aug 2, 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: STATE REGISTEREDderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address