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.

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Registered advisor

K••• L•••• H•••••

C••••• I••••••••• A••••••• L••BD affiliatedCharlotte, Ncdual registrantIAPD 2044343

Feed of 09/14/2026

Also filed as K••• L H•••••

At current firm

3 y

since Jun 29, 2023

In the industry

33 y

since May 12, 1993 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 29, 2023 · Charlotte, Nc
S••••• F•••••••• G•••• I•• former
May 12, 2011 to May 20, 2021 · Charlotte, Nc
I• A••••••• S•••••••• I••• former
Jun 2, 2006 to May 4, 2011 · Bedminster, Nj
T•• I••••••••• C•••••• I••• unclassified
Jan 5, 2006 to Jun 2, 2006 · Charlotte, Nc
L••• M•••• W••• W•••••• I••••••••• unclassified
May 10, 2002 to Jan 23, 2006 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••
left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
I• A••••••• S•••••••• I••• to S••••• F•••••••• G•••• I••
left May 4, 2011, registered May 12, 2011 (8 days) · Other
T•• I••••••••• C•••••• I••• to I• A••••••• S•••••••• I•••
left Jun 2, 2006, registered Jun 2, 2006 (0 days) · corporate re-registration, not a move
L••• M•••• W••• W•••••• I••••••••• to T•• I••••••••• C•••••• I•••
left Jan 23, 2006, registered Jan 5, 2006 (-18 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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address