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

K•••• C• S••••••

P••••••• W•••••independent RIASan Jose, CaIA-onlyIAPD 4723624

Certified Financial Planner

Feed of 09/14/2026

Also filed as K•••• S••••••

At current firm

2 y

since Apr 1, 2024

In the industry

22 y

since Dec 30, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P••••••• W••••• independent RIA current
since Apr 1, 2024 · San Jose, Ca
M•••••• A•••••• N•••••• BD affiliated
Jul 25, 2016 to Apr 3, 2024 · San Jose, Ca
L•• F•••••••• L•• BD affiliated
Jun 18, 2008 to Dec 23, 2016 · Los Gatos, Ca
E••••• J•••• national BD
Mar 25, 2005 to Jun 6, 2008 · San Jose, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 9, 2004 to Mar 28, 2005 · San Jose, Ca

Moves

a registration end followed by a registration begin elsewhere

M•••••• A•••••• N•••••• to P••••••• W•••••
left Apr 3, 2024, registered Apr 1, 2024 (-2 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
L•• F•••••••• L•• to M•••••• A•••••• N••••••
left Dec 23, 2016, registered Jul 25, 2016 (-151 days) · Other · moved with a team
E••••• J•••• to L•• F•••••••• L••
left Jun 6, 2008, registered Jun 18, 2008 (12 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left Mar 28, 2005, registered Mar 25, 2005 (-3 days) · Wirehouse to affiliated broker-dealer or bank

Signals

K•••• C• S•••••• left M•••••• A•••••• N•••••• for P••••••• W••••• (registered 2024-04-01)
Apr 3, 2024 · a•••••• firm change · 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: Independent wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address