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•••• K•••••

L•• F•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 7208037

Feed of 09/14/2026

At current firm

1 y

since Sep 15, 2025

In the industry

10 y

since Aug 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

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 Sep 15, 2025 · San Diego, Ca
O•••• W•••••• I••• BD affiliated
Mar 19, 2024 to Sep 17, 2025 · Orange, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 4, 2023 to Mar 20, 2024 · Mountain View, Ca
N••••••••• I••••••••• A•••••••• L•• BD affiliated
Dec 15, 2020 to Jun 2, 2021 · Columbus, Oh

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Sep 17, 2025, registered Sep 15, 2025 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
F••••••• P••••••• A•• W•••••••• A••••••• to O•••• W•••••• I•••
left Mar 20, 2024, registered Mar 19, 2024 (-1 days) · Affiliated broker-dealer or bank to another
N••••••••• I••••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jun 2, 2021, registered Apr 4, 2023 (671 days) · Affiliated broker-dealer or bank to another

Signals

M•••• K••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2025-09-15)
Sep 17, 2025 · Advisor changed firm · fact
M•••• K••••• left F••••••• P••••••• A•• W•••••••• A••••••• for O•••• W•••••• I••• (registered 2024-03-19)
Mar 20, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address