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• H•••••

W•••• F•••• A•••••••wirehouseBarrington, Ildual registrantIAPD 1247204

Feed of 09/14/2026

Also filed as K•••• K Ligue

At current firm

1 y

since Aug 25, 2025

In the industry

42 y

since Sep 6, 1984 (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

W•••• F•••• A••••••• wirehouse current
since Aug 25, 2025 · Barrington, Il
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 14, 2025 to Jul 28, 2025 · Cary, Il
W••••••• I••••••••• former
Sep 14, 2022 to Jan 28, 2025 · Chicago, Il
C•••••• S••••• • C••• I••• national BD
Jan 26, 2021 to Sep 16, 2022 · Chicago, Il
M••••• S•••••• wirehouse
Jun 1, 2009 to Nov 24, 2020 · Oak Brook, Il
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 21, 2008 to Jun 1, 2009 · Barrington, Il

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••
left Jul 28, 2025, registered Aug 25, 2025 (28 days) · Affiliated broker-dealer or bank to wirehouse
W••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left Jan 28, 2025, registered Feb 14, 2025 (17 days) · RIA to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to W••••••• I•••••••••
left Sep 16, 2022, registered Sep 14, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to C•••••• S••••• • C••• I•••
left Nov 24, 2020, registered Jan 26, 2021 (63 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

K•••• K• H••••• left A••••••••• F•••••••• S•••••••• L•• for W•••• F•••• A••••••• (registered 2025-08-25)
Jul 28, 2025 · Advisor changed firm · fact
K•••• K• H••••• left W••••••• I••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-02-14)
Jan 28, 2025 · Advisor changed firm · fact
K•••• K• H••••• left C•••••• S••••• • C••• I••• for W••••••• I••••••••• (registered 2022-09-14)
Sep 16, 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: Wirehousederived
Years in industry: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address