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•••• Z•••••••••

E•••• S••••••••• L••BD affiliatedNew York, Nydual registrantIAPD 2313753

Feed of 09/14/2026

Also filed as K•••• Miki Z•••••••••

At current firm

2 y

since Jun 17, 2024

In the industry

32 y

since Jan 31, 1994 (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

E•••• S••••••••• L•• BD affiliated current
since Jun 17, 2024 · New York, Ny
C••••••• S••••••••• I••• BD affiliated
Aug 17, 2022 to Sep 7, 2023 · Elizabeth, Nj
C••••• I••••••••• A••••••• L•• BD affiliated
Sep 24, 2018 to Aug 17, 2022 · Staten Island, Ny
C•••••• O•• A•••••••• L•• former
Jan 28, 2015 to Sep 19, 2018 · Seattle, Wa
C•••••• O•• F•••••••• A••••••• L•• unclassified
Oct 1, 2012 to Jan 28, 2015 · Melville, Ny
C•••• I••••••••• S••••••• C•••• former
Nov 21, 2008 to Jul 26, 2012 · Brooklyn, Ny

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to E•••• S••••••••• L••
left Sep 7, 2023, registered Jun 17, 2024 (284 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to C••••••• S••••••••• I•••
left Aug 17, 2022, registered Aug 17, 2022 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
C•••••• O•• A•••••••• L•• to C••••• I••••••••• A••••••• L••
left Sep 19, 2018, registered Sep 24, 2018 (5 days) · Affiliated broker-dealer or bank to another
C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••
left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
C•••• I••••••••• S••••••• C•••• to C•••••• O•• F•••••••• A••••••• L••
left Jul 26, 2012, registered Oct 1, 2012 (67 days) · Other

Signals

K•••• Z••••••••• left C••••••• S••••••••• I••• for E•••• S••••••••• L•• (registered 2024-06-17)
Sep 7, 2023 · Advisor changed firm · fact
K•••• Z••••••••• left C••••• I••••••••• A••••••• L•• for C••••••• S••••••••• I••• (registered 2022-08-17)
Aug 17, 2022 · 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address