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

M•••••• D•••• K•••••

I••••••••• F•••••••• G••••• L••BD affiliatedRockwall, Tx dual registrantIAPD 2566829

Feed of 09/14/2026

Also filed as Mike K•••••

At current firm

3 y

since Jun 9, 2023

In the industry

43 y

since Nov 1, 1982 (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

I••••••••• F•••••••• G••••• L•• BD affiliated current
since Jun 9, 2023 · Rockwall, Tx
I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated
May 26, 2016 to Jun 30, 2023 · Rockwall, Tx
C••••• A••••••• L•• former
Nov 18, 2013 to May 10, 2016 · Rockwall, Tx
N••• F•••••••• G••••• I••• former
May 25, 2012 to Sep 18, 2012 · Houston, Tx
W••••••• F•••••••• S•••••••• I••• former
Jan 7, 2003 to Nov 19, 2013 · Addison, Tx

Moves

a registration end followed by a registration begin elsewhere

I••••••••• A••••• I••••••••• M••••••••• L•• to I••••••••• F•••••••• G••••• L••
left Jun 30, 2023, registered Jun 9, 2023 (-21 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••• A••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••
left May 10, 2016, registered May 26, 2016 (16 days) · Other · moved with a team
W••••••• F•••••••• S•••••••• I••• to N••• F•••••••• G••••• I•••
left Nov 19, 2013, registered May 25, 2012 (-543 days) · Other
N••• F•••••••• G••••• I••• to C••••• A••••••• L••
left Sep 18, 2012, registered Nov 18, 2013 (426 days) · Other

Signals

M•••••• D•••• K••••• left I••••••••• A••••• I••••••••• M••••••••• L•• for I••••••••• F•••••••• G••••• L•• (registered 2023-06-09)
Jun 30, 2023 · 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: 43derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address