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

H••••• A•••• K•••••

C••••••••• F•••••••• N••••••national BDPlantation, FlIA-onlyIAPD 1742120

Certified Financial Planner

Feed of 09/14/2026

At current firm

4 y

since Jun 2, 2022

In the industry

38 y

since Sep 29, 1987 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Jun 2, 2022 · Plantation, Fl
M•••••• W•••••• L•• independent RIA
Jul 7, 2021 to May 31, 2022 · Plantation, Fl
H• A• K••••• • A••••••••• P• unclassified
Aug 11, 1999 to Sep 1, 2022 · Plantation, Fl
C••••••••• F•••••••• N•••••• national BD
Jul 30, 1998 to Jun 30, 2021 · Plantation, Fl

Moves

a registration end followed by a registration begin elsewhere

H• A• K••••• • A••••••••• P• to M•••••• W•••••• L••
left Sep 1, 2022, registered Jul 7, 2021 (-421 days) · Other
M•••••• W•••••• L•• to C••••••••• F•••••••• N••••••
left May 31, 2022, registered Jun 2, 2022 (2 days) · RIA to affiliated broker-dealer or bank
C••••••••• F•••••••• N•••••• to H• A• K••••• • A••••••••• P•
left Jun 30, 2021, registered Aug 11, 1999 (-7994 days) · Other

Signals

H••••• A•••• K••••• left H• A• K••••• • A••••••••• P• for M•••••• W•••••• L•• (registered 2021-07-07)
Sep 1, 2022 · Advisor changed firm · fact
H••••• A•••• K••••• left M•••••• W•••••• L•• for C••••••••• F•••••••• N•••••• (registered 2022-06-02)
May 31, 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: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address