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

K•••••• F•••••• G••••••

L•• F•••••••• L••BD affiliatedValencia, Ca dual registrantIAPD 6648553

Feed of 09/14/2026

At current firm

2 y

since Mar 4, 2024

In the industry

11 y

since Mar 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Mar 4, 2024 · Lancaster, Ca
W••• former
Mar 18, 2022 to Feb 26, 2024 · Irvine, Ca
F•• S••••••••• C••••••••• former
May 11, 2021 to Jan 3, 2022 · Orange, Ca
O•••• W•••••• I••• BD affiliated
May 3, 2019 to May 4, 2021 · Pasadena, Ca
E•••••••• A•••••••• L•• national BD
Sep 12, 2017 to Jan 2, 2018 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

W••• to L•• F•••••••• L••
left Feb 26, 2024, registered Mar 4, 2024 (7 days) · RIA to affiliated broker-dealer or bank
F•• S••••••••• C••••••••• to W•••
left Jan 3, 2022, registered Mar 18, 2022 (74 days) · Affiliated broker-dealer or bank to independent RIA
O•••• W•••••• I••• to F•• S••••••••• C•••••••••
left May 4, 2021, registered May 11, 2021 (7 days) · channel change inside one enterprise, not a move
E•••••••• A•••••••• L•• to O•••• W•••••• I•••
left Jan 2, 2018, registered May 3, 2019 (486 days) · Affiliated broker-dealer or bank to another

Signals

K•••••• F•••••• G•••••• left Wmbc for L•• F•••••••• L•• (registered 2024-03-04)
Feb 26, 2024 · Advisor changed firm · fact
K•••••• F•••••• G•••••• left F•• S••••••••• C••••••••• for Wmbc (registered 2022-03-18)
Jan 3, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address