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

C•••• T••••• K•••••

L•• F•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 2073586

Feed of 09/14/2026

At current firm

2 y

since Jan 22, 2024

In the industry

36 y

since Sep 21, 1990 (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

L•• F•••••••• L•• BD affiliated current
since Jan 22, 2024 · Crown Point, In
S••••••••• A•••••• A•••••••• I••• former
Sep 22, 2008 to Jan 24, 2024 · C•••• Point, In
C•••• F•••••••• A•••••••• L•• unclassified
Jan 14, 2008 to Dec 12, 2008 · C•••• Point, In
S•••••••• F••••••••• I••• former
Dec 16, 2005 to Aug 6, 2007 · C•••• Point, In
A••••••••• F•••••••• S•••••••• L•• national BD
Dec 14, 1998 to Dec 7, 2005 · Merrillville, In

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••
left Jan 24, 2024, registered Jan 22, 2024 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
C•••• F•••••••• A•••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Dec 12, 2008, registered Sep 22, 2008 (-81 days) · Other
S•••••••• F••••••••• I••• to C•••• F•••••••• A•••••••• L••
left Aug 6, 2007, registered Jan 14, 2008 (161 days) · Other
A••••••••• F•••••••• S•••••••• L•• to S•••••••• F••••••••• I•••
left Dec 7, 2005, registered Dec 16, 2005 (9 days) · Other

Signals

C•••• T••••• K••••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2024-01-22)
Jan 24, 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: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address