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

M•••••• P••••• K•••••

S•••••••• A••••••• L••national BDNewport Beach, Ca dual registrantIAPD 5966081

Feed of 09/15/2026

Also filed as M•••••• P••••• K•••••

At current firm

1 y

since Mar 31, 2025

In the industry

13 y

since Apr 24, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Newport Beach, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Nov 11, 2024 to Mar 31, 2025 · Newport Beach, Ca
M••••• S•••••• wirehouse
Sep 5, 2023 to Oct 29, 2024 · Irvine, Ca
E•••••• C•••••• M••••••••• L•• former
Sep 22, 2021 to Sep 5, 2023 · Irvine, Ca
T• A••••••••• I••• former
Feb 27, 2018 to Mar 3, 2021 · Huntington Beach, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Mar 3, 2021 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Jun 2, 2017 to Feb 26, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

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
M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Oct 29, 2024, registered Nov 11, 2024 (13 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Mar 3, 2021, registered Feb 27, 2018 (-1100 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to E•••••• C•••••• M••••••••• L••
left Mar 3, 2021, registered Sep 22, 2021 (203 days) · Other
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move

Signals

M•••••• P••••• K••••• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-11-11)
Oct 29, 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: National broker-dealer RIAderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address