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

A••• K••••

C•••••• S••••• • C••• I•••national BDCarlsbad, Cadual registrantIAPD 6373382

Feed of 09/14/2026

Also filed as A••• John K••••

At current firm

1 y

since Jun 3, 2025

In the industry

15 y

since May 1, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Jun 3, 2025 · Carlsbad, Ca
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to May 6, 2025 · San Diego, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Oct 1, 2019 to Mar 31, 2025 · Campbell, Ca
B••••••• I••••••••• S•••••••• I••• ••••• former
Nov 20, 2018 to Sep 3, 2019 · Gilroy, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••
left May 6, 2025, registered Jun 3, 2025 (28 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
B••••••• I••••••••• S•••••••• I••• ••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Sep 3, 2019, registered Oct 1, 2019 (28 days) · Affiliated broker-dealer or bank to another

Signals

A••• K•••• left S•••••••• A••••••• L•• for C•••••• S••••• • C••• I••• (registered 2025-06-03)
May 6, 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: National broker-dealer RIAderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address