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

R••••• K••••••••

S•••••••• A••••••• L••national BDEl Segundo, Ca dual registrantIAPD 6476310

Feed of 09/15/2026

Also filed as Rob K••••••••

At current firm

1 y

since Mar 31, 2025

In the industry

11 y

since Jun 1, 2015 (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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Torrance, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Oct 30, 2024 to Mar 31, 2025 · Torrance, Ca
A••••• W••••• A••••••• I••••••••• M••••••••• •••••• independent RIA
May 26, 2023 to Aug 23, 2024 · Los Angeles, Ca
L•• F•••••••• L•• BD affiliated
May 12, 2023 to May 16, 2023 · Los Angeles, Ca
F•••• T•••• A••••••• L• asset manager
Oct 9, 2018 to Feb 14, 2023 · Wheaton, Il

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
A••••• W••••• A••••••• I••••••••• M••••••••• •••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Aug 23, 2024, registered Oct 30, 2024 (68 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• L•• to A••••• W••••• A••••••• I••••••••• M••••••••• ••••••
left May 16, 2023, registered May 26, 2023 (10 days) · Affiliated broker-dealer or bank to independent RIA
F•••• T•••• A••••••• L• to L•• F•••••••• L••
left Feb 14, 2023, registered May 12, 2023 (87 days) · Other

Signals

R••••• K•••••••• left A••••• W••••• A••••••• I••••••••• M••••••••• •••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-10-30)
Aug 23, 2024 · Advisor changed firm · fact
R••••• K•••••••• left L•• F•••••••• L•• for A••••• W••••• A••••••• I••••••••• M••••••••• •••••• (registered 2023-05-26)
May 16, 2023 · Advisor changed firm · fact
R••••• K•••••••• left F•••• T•••• A••••••• L• for L•• F•••••••• L•• (registered 2023-05-12)
Feb 14, 2023 · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address