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.
Registered advisor
D•••• A•••• K•••••••••
Feed of 09/14/2026
Also filed as Dave K•••••••••
At current firm
5 y
since Apr 20, 2021
In the industry
41 y
since Nov 1, 1984 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Apr 20, 2021 · Menomonee Falls, Wi
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealthMay 21, 2019 to Apr 22, 2021 · Sussex, Wi
- W•••••• • R••• formerDec 21, 1984 to May 23, 2019 · Menomonee Falls, Wi
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• A•••••• A•••••••• L•• to L•• F•••••••• L••left Apr 22, 2021, registered Apr 20, 2021 (-2 days) · RIA to affiliated broker-dealer or bank
- W•••••• • R••• to I••••••••• A•••••• A•••••••• L••left May 23, 2019, registered May 21, 2019 (-2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
Signals
No dated event on this person.
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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address