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•••• A•••••• K•••••••••

L•• F•••••••• L••BD affiliatedVentura, Ca dual registrantIAPD 5383233

Feed of 09/15/2026

At current firm

1 y

since May 15, 2025

In the industry

19 y

since Sep 1, 2007 (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 May 15, 2025 · Camarillo, Ca
C••• F•••••••• S•••••••• L••• former
Aug 12, 2024 to May 15, 2025 · Thousand Oaks, Ca
K••••• A••••••• S•••••••• L•• BD affiliated
Aug 5, 2024 to Aug 14, 2024 · Camarillo, Ca
C••• F•••••••• S•••••••• L••• former
Mar 11, 2011 to Aug 6, 2024 · Ventura, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Mar 7, 2011 · Camarillo, Ca
W•••• F•••• I••••••••• L•• unclassified
Sep 3, 2007 to Jan 3, 2011 · Camarillo, Ca

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
K••••• A••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••
left Aug 14, 2024, registered Aug 12, 2024 (-2 days) · Affiliated broker-dealer or bank to another
C••• F•••••••• S•••••••• L••• to K••••• A••••••• S•••••••• L••
left Aug 6, 2024, registered Aug 5, 2024 (-1 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to C••• F•••••••• S•••••••• L•••
left Mar 7, 2011, registered Mar 11, 2011 (4 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

D•••• A•••••• K••••••••• left K••••• A••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2024-08-12)
Aug 14, 2024 · Advisor changed firm · fact
D•••• A•••••• K••••••••• left C••• F•••••••• S•••••••• L••• for K••••• A••••••• S•••••••• L•• (registered 2024-08-05)
Aug 6, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address