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••• B••••

T••••• A••••••• S•••••••• I•••BD affiliatedFort Worth, Txdual registrantIAPD 2198132

Feed of 09/14/2026

Also filed as K••••••• A Gist

At current firm

5 y

since Feb 17, 2021

In the industry

29 y

since Sep 2, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T••••• A••••••• S•••••••• I••• BD affiliated current
since Feb 17, 2021 · Fort Worth, Tx
B••• S••••••••• L•• former
Jan 9, 2020 to Feb 17, 2021 · Fort Worth, Tx
M••••• S•••••• wirehouse
Sep 23, 2013 to Oct 22, 2018 · Dallas, Tx
R••••• W• B•••• • C•• I••••••••• mixed wealth
Aug 10, 2010 to Sep 18, 2013 · Fort Worth, Tx
R•••••• J•••• • A••••••••• I••• national BD
Jan 4, 2007 to Jul 13, 2010 · Fort Worth, Tx
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 4, 1997 to Nov 24, 2006 · Fort Worth, Tx

Moves

a registration end followed by a registration begin elsewhere

B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
M••••• S•••••• to B••• S••••••••• L••
left Oct 22, 2018, registered Jan 9, 2020 (444 days) · Wirehouse to affiliated broker-dealer or bank
R••••• W• B•••• • C•• I••••••••• to M••••• S••••••
left Sep 18, 2013, registered Sep 23, 2013 (5 days) · Other
R•••••• J•••• • A••••••••• I••• to R••••• W• B•••• • C•• I•••••••••
left Jul 13, 2010, registered Aug 10, 2010 (28 days) · Other
C•••••••• G••••• M•••••• I••• to R•••••• J•••• • A••••••••• I•••
left Nov 24, 2006, registered Jan 4, 2007 (41 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address