DFX Intelligence
RIA Intelligence
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Registered advisor
R••• K• Y•••••••
Feed of 09/15/2026
Also filed as R••• Y•••••••
At current firm
10 y
since May 17, 2016
In the industry
16 y
since Jan 22, 2010 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- U••• B•••••• A•••••••• L•• BD affiliated currentsince May 17, 2016 · Aptos, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerOct 25, 2012 to May 11, 2016 · Saratoga, Ca
Moves
a registration end followed by a registration begin elsewhere
- B••••••• I••••••••• S•••••••• I••• ••••• to U••• B•••••• A•••••••• L••left May 11, 2016, registered May 17, 2016 (6 days) · Other
Signals
No dated event on this person.
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address