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•••••• A••• T••••

N•• E••• W•••••BD affiliatedStamford, Ct dual registrantIAPD 2092241

Feed of 09/15/2026

Also filed as K•••••• T••••

At current firm

2 y

since Aug 21, 2024

In the industry

22 y

since Nov 20, 2003 (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

N•• E••• W••••• BD affiliated current
since Aug 21, 2024 · Delray Beach, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 18, 2016 to Aug 20, 2024 · Boca Raton, Fl
M••••• S•••••• wirehouse
Jun 1, 2009 to Apr 11, 2016 · Boca Raton, Fl
M••••• S•••••• • C•• L•• unclassified
Feb 27, 2009 to Jun 1, 2009 · Boca Raton, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 5, 2004 to Mar 4, 2009 · Boca Raton, Fl

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•• E••• W•••••
left Aug 20, 2024, registered Aug 21, 2024 (1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 11, 2016, registered Mar 18, 2016 (-24 days) · Wirehouse to wirehouse · moved with a team
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••
left Mar 4, 2009, registered Feb 27, 2009 (-5 days) · Other

Signals

K•••••• A••• T•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for N•• E••• W••••• (registered 2024-08-21)
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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address