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•••• P•••••• A•••

L•• F•••••••• L••BD affiliatedColumbia, Mo dual registrantIAPD 2393993

Feed of 09/15/2026

At current firm

1 y

since Jul 7, 2025

In the industry

32 y

since Oct 22, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jul 7, 2025 · Columbia, Mo
S••••••••• I••••••••• independent RIA
May 9, 2025 to May 13, 2025 · New York, Ny
L•••••• I••••••••• independent RIA
Mar 3, 2025 to Mar 3, 2025 · Palm Beach Gardens, Fl
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 21, 2024 to Dec 31, 2024 · Columbia, Mo
C••••• A••••••• L•• former
Apr 12, 2007 to Mar 21, 2024 · Overland Park, Ks
M•• F•••••••• S•••••••• I••• former
Aug 23, 2000 to Dec 11, 2006 · Columbia, Mo

Moves

a registration end followed by a registration begin elsewhere

S••••••••• I••••••••• to L•• F•••••••• L••
left May 13, 2025, registered Jul 7, 2025 (55 days) · RIA to affiliated broker-dealer or bank
L•••••• I••••••••• to S••••••••• I•••••••••
left Mar 3, 2025, registered May 9, 2025 (67 days) · RIA to RIA
C••••• I••••••••• A••••••• L•• to L•••••• I•••••••••
left Dec 31, 2024, registered Mar 3, 2025 (62 days) · Affiliated broker-dealer or bank to independent RIA
C••••• A••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 21, 2024, registered Mar 21, 2024 (0 days) · corporate re-registration, not a move
M•• F•••••••• S•••••••• I••• to C••••• A••••••• L••
left Dec 11, 2006, registered Apr 12, 2007 (122 days) · Other

Signals

K•••• P•••••• A••• left S••••••••• I••••••••• for L•• F•••••••• L•• (registered 2025-07-07)
May 13, 2025 · Advisor changed firm · fact
K•••• P•••••• A••• left L•••••• I••••••••• for S••••••••• I••••••••• (registered 2025-05-09)
Mar 3, 2025 · Advisor changed firm · fact
K•••• P•••••• A••• left C••••• I••••••••• A••••••• L•• for L•••••• I••••••••• (registered 2025-03-03)
Dec 31, 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address