DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
O•••• K••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
10 y
since Jan 19, 2016
In the industry
22 y
since Jan 1, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
n/a
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- K•••••• F•••••••• P••••••• former currentsince Jan 19, 2016 · Grass Valley, Ca
- K•••••• F•••••••• P••••••• formerApr 28, 2015 to Dec 31, 2015 · Grass Valley, Ca
- K•••••• F•••••••• unclassifiedNov 6, 2014 to Apr 24, 2015 · Grass Valley, Ca
Moves
a registration end followed by a registration begin elsewhere
- K•••••• F•••••••• to K•••••• F•••••••• P•••••••left Apr 24, 2015, registered Apr 28, 2015 (4 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
- Former SEC-registered adviserderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address