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•••••• P••• K••••••••

C••••• I••••••••• A••••••• L••BD affiliatedFarmington Hls, Mi dual registrantIAPD 1212638

Feed of 09/14/2026

Also filed as Rick K••••••••

At current firm

2 y

since Mar 14, 2024

In the industry

21 y

since Oct 12, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Mar 14, 2024 · Farmington Hls, Mi
H••••••••• G••••• L•• no RAUM
Oct 7, 2020 to Mar 20, 2024 · Parker, Co
W•• I••••••••• L•• independent RIA
May 17, 2016 to Mar 20, 2024 · Red Bank, Nj
F•• S••••••••• C••••••••• former
Nov 1, 2010 to Apr 27, 2016 · Atlanta, Ga
W•• I••••••••• L•• independent RIA
Aug 4, 2009 to Oct 7, 2010 · Parker, Co
C••••• A••••••• L•• former
Sep 7, 2006 to May 21, 2009 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

W•• I••••••••• L•• to H••••••••• G••••• L••
left Mar 20, 2024, registered Oct 7, 2020 (-1260 days) · channel change inside one enterprise, not a move
H••••••••• G••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 20, 2024, registered Mar 14, 2024 (-6 days) · RIA to affiliated broker-dealer or bank
F•• S••••••••• C••••••••• to W•• I••••••••• L••
left Apr 27, 2016, registered May 17, 2016 (20 days) · Other
W•• I••••••••• L•• to F•• S••••••••• C•••••••••
left Oct 7, 2010, registered Nov 1, 2010 (25 days) · Other
C••••• A••••••• L•• to W•• I••••••••• L••
left May 21, 2009, registered Aug 4, 2009 (75 days) · Other

Signals

R•••••• P••• K•••••••• left H••••••••• G••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-03-14)
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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address