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.
Registered advisor
Kim I Marshall
Feed of 09/14/2026
At current firm
4 y
since Jan 7, 2022
In the industry
36 y
since Mar 27, 1990 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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
- Harbour Investments, Inc. independent RIA currentsince Jan 7, 2022 · Sarasota, Fl
- Creative Financial Designs, Inc. BD affiliatedFeb 7, 2020 to Mar 4, 2020 · Kokomo, In
- Stifel, Nicolaus & Company, Incorporated national BDMar 16, 2018 to Feb 7, 2020 · Madison, Wi
- B. C. Ziegler And Company formerJun 2, 2015 to Mar 16, 2018 · Middleton, Wi
- Wells Fargo Advisors wirehouseMar 27, 2006 to Jun 3, 2015 · Madison, Wi
Moves
a registration end followed by a registration begin elsewhere
- Creative Financial Designs, Inc. to Harbour Investments, Inc.left Mar 4, 2020, registered Jan 7, 2022 (674 days) · Affiliated broker-dealer or bank to independent RIA
- Stifel, Nicolaus & Company, Incorporated to Creative Financial Designs, Inc.left Feb 7, 2020, registered Feb 7, 2020 (0 days) · Affiliated broker-dealer or bank to another
- B. C. Ziegler And Company to Stifel, Nicolaus & Company, Incorporatedleft Mar 16, 2018, registered Mar 16, 2018 (0 days) · corporate re-registration, not a move
- Wells Fargo Advisors to B. C. Ziegler And Companyleft Jun 3, 2015, registered Jun 2, 2015 (-1 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
- Independent wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address