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• R•••••••••

O•••• W•••••• I•••BD affiliatedScottsdale, Az dual registrantIAPD 2206243

Feed of 09/14/2026

At current firm

11 y

since Mar 16, 2015

In the industry

34 y

since Apr 22, 1992 (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

O•••• W•••••• I••• BD affiliated current
since Mar 16, 2015 · Hermosa Beach, Ca
C••••• A•••••• N••••••• L•• former
Jun 8, 2011 to Oct 1, 2014 · El Segundo, Ca
A••••••••• P••••••• I••••••••• A••••••• I•• unclassified
Aug 10, 2005 to Dec 23, 2009 · El Segundo, Ca
A••••••••• S••••••••• C•••• unclassified
Jul 25, 2005 to Nov 13, 2009 · Boston, Ma
C••••• C••••••• L•• former
Jan 11, 2005 to Jun 20, 2005 · Denver, Co
S••••••••• S••••••••• I••• unclassified
Feb 4, 2002 to Mar 14, 2003 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

C••••• A•••••• N••••••• L•• to O•••• W•••••• I•••
left Oct 1, 2014, registered Mar 16, 2015 (166 days) · Other
A••••••••• P••••••• I••••••••• A••••••• I•• to C••••• A•••••• N••••••• L••
left Dec 23, 2009, registered Jun 8, 2011 (532 days) · Other
A••••••••• S••••••••• C•••• to A••••••••• P••••••• I••••••••• A••••••• I••
left Nov 13, 2009, registered Aug 10, 2005 (-1556 days) · Other
C••••• C••••••• L•• to A••••••••• S••••••••• C••••
left Jun 20, 2005, registered Jul 25, 2005 (35 days) · Other
S••••••••• S••••••••• I••• to C••••• C••••••• L••
left Mar 14, 2003, registered Jan 11, 2005 (669 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address