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•••• D•••• S••••••

C••••••independent RIAWeston, FlIA-onlyIAPD 1740846

Feed of 09/14/2026

At current firm

2 y

since Aug 16, 2024

In the industry

34 y

since May 5, 1992 (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

C•••••• independent RIA current
since Aug 16, 2024 · Weston, Fl
E•••• L•• former
Nov 1, 2017 to Aug 31, 2024 · Weston, Fl
S•••••• I••••••••• A••••••• S•••••••• L•• former
Jul 10, 2012 to Dec 31, 2017 · Weston, Fl
E•••••• A••••••••• S••••••••• L•• former
Jun 21, 2010 to Jul 29, 2013 · Weston, Fl
E•••••• A•••• A••••••• L•• former
Nov 7, 2007 to Jul 29, 2013 · Weston, Fl
S•••••• I••••••••• A••••••• S•••••••• L•• former
Mar 30, 2006 to Mar 30, 2012 · Weston, Fl
R•••••• J•••• • A••••••••• I••• national BD
Feb 19, 2003 to Jan 26, 2006 · Boca Raton, Fl
J• B• H•••••• • C•• unclassified
Jul 14, 1993 to Feb 18, 2003 · Hallandale, Fl

Moves

a registration end followed by a registration begin elsewhere

E•••• L•• to C••••••
left Aug 31, 2024, registered Aug 16, 2024 (-15 days) · RIA to RIA · moved with a team
S•••••• I••••••••• A••••••• S•••••••• L•• to E•••• L••
left Dec 31, 2017, registered Nov 1, 2017 (-60 days) · Other
E•••••• A••••••••• S••••••••• L•• to S•••••• I••••••••• A••••••• S•••••••• L••
left Jul 29, 2013, registered Jul 10, 2012 (-384 days) · Other
E•••••• A•••• A••••••• L•• to E•••••• A••••••••• S••••••••• L••
left Jul 29, 2013, registered Jun 21, 2010 (-1134 days) · channel change inside one enterprise, not a move
S•••••• I••••••••• A••••••• S•••••••• L•• to E•••••• A•••• A••••••• L••
left Mar 30, 2012, registered Nov 7, 2007 (-1605 days) · Other
R•••••• J•••• • A••••••••• I••• to S•••••• I••••••••• A••••••• S•••••••• L••
left Jan 26, 2006, registered Mar 30, 2006 (63 days) · Other
J• B• H•••••• • C•• to R•••••• J•••• • A••••••••• I•••
left Feb 18, 2003, registered Feb 19, 2003 (1 days) · Other

Signals

K•••• D•••• S•••••• left E•••• L•• for Corient (registered 2024-08-16)
Aug 31, 2024 · 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: Independent wealth managerderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address