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

J•••••• L••• K•••••

E•••••• F•••••••• G••••independent RIALaguna Niguel, CaIA-onlyIAPD 4839333

Certified Financial Planner

Feed of 09/14/2026

Also filed as J•••••• L••• Eiben

At current firm

3 y

since May 18, 2023

In the industry

21 y

since Nov 2, 2004 (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

E•••••• F•••••••• G•••• independent RIA current
since May 18, 2023 · Laguna Niguel, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 27, 2018 to May 24, 2023 · Laguna Niguel, Ca
A••••• A•• P••••••• S••••••• BD affiliated
Feb 22, 2018 to Sep 25, 2018 · Newport Beach, Ca
M•• A•••••••• A• D••••••• O• F•••••••• M••• L•• asset manager
Jan 6, 2011 to Nov 20, 2017 · Boston, Ma
F•••••••• G••••• I••••••••• M••••••••• C•••• asset manager
Jan 6, 2011 to Dec 31, 2013 · New York, Ny
F•••••••• S••••••••• C•••• no RAUM
Nov 11, 2009 to Nov 20, 2017 · Pittsburgh, Pa
F•••••••• I••••••••• C••••••••• institutional
Feb 13, 2007 to Nov 20, 2017 · Pittsburgh, Pa

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• G••••
left May 24, 2023, registered May 18, 2023 (-6 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
A••••• A•• P••••••• S••••••• to A••••••••• F•••••••• S•••••••• L••
left Sep 25, 2018, registered Sep 27, 2018 (2 days) · Affiliated broker-dealer or bank to another
F•••••••• I••••••••• C••••••••• to F•••••••• S••••••••• C••••
left Nov 20, 2017, registered Nov 11, 2009 (-2931 days) · channel change inside one enterprise, not a move · moved with a team
M•• A•••••••• A• D••••••• O• F•••••••• M••• L•• to A••••• A•• P••••••• S•••••••
left Nov 20, 2017, registered Feb 22, 2018 (94 days) · Other
F•••••••• S••••••••• C•••• to F•••••••• G••••• I••••••••• M••••••••• C••••
left Nov 20, 2017, registered Jan 6, 2011 (-2510 days) · channel change inside one enterprise, not a move
F•••••••• G••••• I••••••••• M••••••••• C•••• to M•• A•••••••• A• D••••••• O• F•••••••• M••• L••
left Dec 31, 2013, registered Jan 6, 2011 (-1090 days) · channel change inside one enterprise, not a move

Signals

J•••••• L••• K••••• left A••••••••• F•••••••• S•••••••• L•• for E•••••• F•••••••• G•••• (registered 2023-05-18)
May 24, 2023 · 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: Independent wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address