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••••••••• K•••••••

K••••• A••••••• S•••••••• L••BD affiliatedRed Bank, Nj dual registrantIAPD 1025173

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

Also filed as K••••••••• Kostakes

At current firm

1 y

since Dec 16, 2024

In the industry

38 y

since Oct 12, 1987 (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

K••••• A••••••• S•••••••• L•• BD affiliated current
since Dec 16, 2024 · Red Bank, Nj
S••••••••• C•••••• M••••••••• I•• L•• former
Feb 8, 2012 to Nov 7, 2023 · Paramus, Nj
S••••••••• C•••••• M••••••••• I•• L••••• former
Jan 9, 2012 to Mar 25, 2015 · Paramus, Nj
S••••••••• C•••••• M••••••••• I• unclassified
Dec 13, 2011 to Mar 30, 2012 · West Caldwell, Nj
S••••••••• C•••••• M••••••••• V•• L••••• former
Nov 21, 2011 to Jan 13, 2021 · Paramus, Nj
S••••••••• C•••••• M••••••••• I• L•• former
Nov 21, 2011 to Jan 2, 2015 · Paramus, Nj
M••••••••• F••••• A••••••• L•• former
Nov 17, 2011 to Mar 16, 2015 · Budd Lake, Nj
S••••••••• C•••••• M••••••••• V•••• L•• former
Dec 17, 2009 to Nov 5, 2012 · West Caldwell, Nj
S••••••••• C•••••• M••••••••• former
Aug 19, 2003 to Dec 31, 2024 · Paramus, Nj

Moves

a registration end followed by a registration begin elsewhere

S••••••••• C•••••• M••••••••• to S••••••••• C•••••• M••••••••• V•••• L••
left Dec 31, 2024, registered Dec 17, 2009 (-5493 days) · channel change inside one enterprise, not a move
S••••••••• C•••••• M••••••••• I•• L•• to K••••• A••••••• S•••••••• L••
left Nov 7, 2023, registered Dec 16, 2024 (405 days) · RIA to affiliated broker-dealer or bank
S••••••••• C•••••• M••••••••• V•• L••••• to S••••••••• C•••••• M••••••••• I•
left Jan 13, 2021, registered Dec 13, 2011 (-3319 days) · Other
S••••••••• C•••••• M••••••••• I•• L••••• to S••••••••• C•••••• M••••••••• I•• L••
left Mar 25, 2015, registered Feb 8, 2012 (-1141 days) · Other
M••••••••• F••••• A••••••• L•• to S••••••••• C•••••• M••••••••• I• L••
left Mar 16, 2015, registered Nov 21, 2011 (-1211 days) · Other
S••••••••• C•••••• M••••••••• I• L•• to S••••••••• C•••••• M••••••••• V•• L•••••
left Jan 2, 2015, registered Nov 21, 2011 (-1138 days) · Other
S••••••••• C•••••• M••••••••• V•••• L•• to M••••••••• F••••• A••••••• L••
left Nov 5, 2012, registered Nov 17, 2011 (-354 days) · Other
S••••••••• C•••••• M••••••••• I• to S••••••••• C•••••• M••••••••• I•• L•••••
left Mar 30, 2012, registered Jan 9, 2012 (-81 days) · Other

Signals

K••••••••• K••••••• left S••••••••• C•••••• M••••••••• I•• L•• for K••••• A••••••• S•••••••• L•• (registered 2024-12-16)
Nov 7, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address