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••• E• S•••••••

K••••• P•••••• W••••• S•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 2470163

Feed of 09/14/2026

Also filed as Karl Eric Schwartz

At current firm

1 y

since Jan 22, 2025

In the industry

32 y

since Apr 27, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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

K••••• P•••••• W••••• S•••••••• L•• BD affiliated current
since Jan 22, 2025 · Bloomfield Hills, Mi
E••••• J•••• national BD
Jul 12, 2024 to Jan 29, 2025 · Bloomfield Hills, Mi
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 13, 2022 to Jul 15, 2024 · New York, Ny
B•••••••• I••••••••• M••••••••• L•• asset manager
Jul 22, 2013 to Dec 13, 2016 · Bloomfield Hills, Mi
L•••••• F•••••••• D••••••••• I••• unclassified
Nov 20, 2006 to Feb 24, 2011 · Beverly Hills, Mi
J••• H•••••• D••••••••• L•• unclassified
Mar 26, 2004 to Sep 28, 2006 · Beverly Hills, Mi

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to K••••• P•••••• W••••• S•••••••• L••
left Jan 29, 2025, registered Jan 22, 2025 (-7 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left Jul 15, 2024, registered Jul 12, 2024 (-3 days) · Wirehouse to affiliated broker-dealer or bank
B•••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 13, 2016, registered Oct 13, 2022 (2130 days) · Other
L•••••• F•••••••• D••••••••• I••• to B•••••••• I••••••••• M••••••••• L••
left Feb 24, 2011, registered Jul 22, 2013 (879 days) · Other
J••• H•••••• D••••••••• L•• to L•••••• F•••••••• D••••••••• I•••
left Sep 28, 2006, registered Nov 20, 2006 (53 days) · Other

Signals

K••• E• S••••••• left E••••• J•••• for K••••• P•••••• W••••• S•••••••• L•• (registered 2025-01-22)
Jan 29, 2025 · Advisor changed firm · fact
K••• E• S••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E••••• J•••• (registered 2024-07-12)
Jul 15, 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