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•••• M•••••• F•••••

K••••• A••••••• S•••••••• L••BD affiliatedPort Jefferson, Ny dual registrantIAPD 1798768

Feed of 09/15/2026

At current firm

2 y

since Aug 5, 2024

In the industry

38 y

since May 24, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K••••• A••••••• S•••••••• L•• BD affiliated current
since Aug 5, 2024 · Port Jefferson, Ny
A••••••• P••••••••• A•••••••• I•• former
Jul 22, 2014 to Aug 20, 2024 · Holbrook, Ny
L•• F•••••••• L•• BD affiliated
Feb 6, 2013 to Jul 15, 2014 · Ronkonkoma, Ny
L•• F•••••••• L•• BD affiliated
Aug 16, 2011 to Jan 14, 2013 · S••••Town, Ny
F••••••• S••••••••• I••• independent RIA
Feb 18, 2009 to Aug 12, 2011 · Great Neck, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 19, 2007 to Nov 13, 2008 · Great Neck, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
May 29, 2007 to Nov 29, 2007 · Bayside, Ny
C••••••• I••••••••• S••••••• unclassified
Sep 13, 2004 to May 29, 2007 · Bayside, Ny

Moves

a registration end followed by a registration begin elsewhere

A••••••• P••••••••• A•••••••• I•• to K••••• A••••••• S•••••••• L••
left Aug 20, 2024, registered Aug 5, 2024 (-15 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to A••••••• P••••••••• A•••••••• I••
left Jul 15, 2014, registered Jul 22, 2014 (7 days) · Other
F••••••• S••••••••• I••• to L•• F•••••••• L••
left Aug 12, 2011, registered Aug 16, 2011 (4 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• S••••••••• I•••
left Nov 13, 2008, registered Feb 18, 2009 (97 days) · Other
C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 29, 2007, registered Nov 19, 2007 (-10 days) · Other
C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••
left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move

Signals

K•••• M•••••• F••••• left A••••••• P••••••••• A•••••••• I•• for K••••• A••••••• S•••••••• L•• (registered 2024-08-05)
Aug 20, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address