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•••• D••• E••••••

L•• F•••••••• L••BD affiliatedSan Francisco, Ca dual registrantIAPD 5113165

Certified Financial Planner

Feed of 09/15/2026

Also filed as K•••• D••• E••••••

At current firm

1 y

since Jul 31, 2025

In the industry

20 y

since Jun 1, 2006 (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

L•• F•••••••• L•• BD affiliated current
since Jul 31, 2025 · San Francisco, Ca
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Apr 16, 2025 · Boston, Ma
F••••••• P••••••• A•• W•••••••• A••••••• former
Dec 15, 2021 to Mar 31, 2025 · Burlingame, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Oct 31, 2017 to Dec 2, 2020 · Sunnyvale, Ca
U••• B•••••• I••••••••• I••• former
Jul 15, 2014 to Nov 1, 2017 · Mill Valley, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 16, 2008 to Apr 16, 2013 · Mill Valley, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Jun 2, 2006 to Sep 26, 2008 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to L•• F•••••••• L••
left Apr 16, 2025, registered Jul 31, 2025 (106 days) · Affiliated broker-dealer or bank to another · moved with a team
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
U••• B•••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Dec 2, 2020, registered Dec 15, 2021 (378 days) · Affiliated broker-dealer or bank to another
U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Nov 1, 2017, registered Oct 31, 2017 (-1 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••
left Apr 16, 2013, registered Jul 15, 2014 (455 days) · Other
A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 26, 2008, registered Sep 16, 2008 (-10 days) · Affiliated broker-dealer or bank to wirehouse

Signals

K•••• D••• E•••••• left S•••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2025-07-31)
Apr 16, 2025 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address