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

R••••••• K••• L••••••

J••••• M••••••••• S•••• L••BD affiliatedColumbia, Scdual registrantIAPD 2204249

Feed of 09/14/2026

Also filed as Randy L••••••

At current firm

2 y

since Aug 16, 2024

In the industry

34 y

since Apr 7, 1992 (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

J••••• M••••••••• S•••• L•• BD affiliated current
since Aug 16, 2024 · Columbia, Sc
T••••• A••••••• S•••••••• I••• BD affiliated
Feb 17, 2021 to Jul 11, 2024 · Columbia, Sc
B••• S••••••••• L•• former
Jan 2, 2013 to Feb 17, 2021 · Columbia, Sc
S•••• • S••••••••• L•• former
Jul 24, 2007 to Jan 2, 2013 · Columbia, Sc
W•••• F•••• A••••••• wirehouse
Jun 15, 2002 to Jul 20, 2007 · Columbia, Sc

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• I••• to J••••• M••••••••• S•••• L••
left Jul 11, 2024, registered Aug 16, 2024 (36 days) · Affiliated broker-dealer or bank to another
B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
S•••• • S••••••••• L•• to B••• S••••••••• L••
left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to S•••• • S••••••••• L••
left Jul 20, 2007, registered Jul 24, 2007 (4 days) · Other

Signals

R••••••• K••• L•••••• left T••••• A••••••• S•••••••• I••• for J••••• M••••••••• S•••• L•• (registered 2024-08-16)
Jul 11, 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address