DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Feed of 09/14/2026
Also filed as Kc Kluge
At current firm
2 y
since Jun 21, 2024
In the industry
25 y
since Jun 1, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Jun 21, 2024 · Orchard Park, Ny
- K•• I••••••••• S••••••• L•• BD affiliatedApr 5, 2022 to Jun 9, 2023 · Williamsville, Ny
- P•••• S••••••••• L•• no RAUMJun 7, 2021 to Mar 10, 2022 · Williamsville, Ny
- E•••••••• A•••••••• L•• national BDJan 30, 2006 to Jul 24, 2014 · Williamsville, Ny
Moves
a registration end followed by a registration begin elsewhere
- K•• I••••••••• S••••••• L•• to E••••• J••••left Jun 9, 2023, registered Jun 21, 2024 (378 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to K•• I••••••••• S••••••• L••left Mar 10, 2022, registered Apr 5, 2022 (26 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to P•••• S••••••••• L••left Jul 24, 2014, registered Jun 7, 2021 (2510 days) · Affiliated broker-dealer or bank to another
Signals
- K•••• C• K•••• left K•• I••••••••• S••••••• L•• for E••••• J•••• (registered 2024-06-21)Jun 9, 2023 · Advisor changed firm · fact
- K•••• C• K•••• left P•••• S••••••••• L•• for K•• I••••••••• S••••••• L•• (registered 2022-04-05)Mar 10, 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address