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•• L••••• M••••

V•••• F•••••••• A•••••••• I•••BD affiliatedRenton, Wadual registrantIAPD 1567570

Feed of 09/14/2026

Also filed as Kim L M••••

At current firm

11 y

since Aug 13, 2015

In the industry

21 y

since Dec 30, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

V•••• F•••••••• A•••••••• I••• BD affiliated current
since Aug 13, 2015 · Renton, Wa
W•••• F•••• A••••••• wirehouse
Oct 14, 2013 to Jul 2, 2015 · Seattle, Wa
S•••••••• A••••••• L•• national BD
Oct 1, 2012 to Oct 22, 2013 · Denver, Co
I•••••• M•••••• A•••••••• L•• other
Oct 21, 2010 to Sep 15, 2011 · Seattle, Wa
S••••••••• S••••••••• C••••••••• unclassified
Jan 1, 2005 to Oct 21, 2010 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to V•••• F•••••••• A•••••••• I•••
left Jul 2, 2015, registered Aug 13, 2015 (42 days) · Other
S•••••••• A••••••• L•• to W•••• F•••• A•••••••
left Oct 22, 2013, registered Oct 14, 2013 (-8 days) · Affiliated broker-dealer or bank to wirehouse
I•••••• M•••••• A•••••••• L•• to S•••••••• A••••••• L••
left Sep 15, 2011, registered Oct 1, 2012 (382 days) · Other
S••••••••• S••••••••• C••••••••• to I•••••• M•••••• A•••••••• L••
left Oct 21, 2010, registered Oct 21, 2010 (0 days) · Other

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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address