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•••••• B•••••

A••••••••• F•••••••• S•••••••• L••national BDPlano, Tx dual registrantIAPD 2636847

Feed of 09/14/2026

Also filed as K B B•••••

At current firm

0 y

since Nov 3, 2025

In the industry

22 y

since Sep 25, 2003 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Nov 3, 2025 · Allen, Tx
W•••• F•••• A••••••• wirehouse
Jan 3, 2018 to Nov 5, 2025 · Fort Worth, Tx
R••••• W• B•••• • C•• I••••••••• mixed wealth
Oct 11, 2012 to Jan 23, 2018 · Dallas, Tx
C•••••••• G••••• M•••••• I••• BD affiliated
May 29, 2007 to Oct 23, 2012 · Chicago, Il
C••••••• I••••••••• S••••••• unclassified
Mar 2, 2006 to May 29, 2007 · Frisco, Tx
C•••• I••••••••• S••••••• C•••• former
Feb 23, 2005 to Mar 2, 2006 · Mckinney, Tx
M••••• S•••••• D• I••• unclassified
Sep 25, 2003 to Oct 6, 2004 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left Nov 5, 2025, registered Nov 3, 2025 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
R••••• W• B•••• • C•• I••••••••• to W•••• F•••• A•••••••
left Jan 23, 2018, registered Jan 3, 2018 (-20 days) · Other
C•••••••• G••••• M•••••• I••• to R••••• W• B•••• • C•• I•••••••••
left Oct 23, 2012, registered Oct 11, 2012 (-12 days) · Other
C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••
left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
C•••• I••••••••• S••••••• C•••• to C••••••• I••••••••• S•••••••
left Mar 2, 2006, registered Mar 2, 2006 (0 days) · Other
M••••• S•••••• D• I••• to C•••• I••••••••• S••••••• C••••
left Oct 6, 2004, registered Feb 23, 2005 (140 days) · Other

Signals

K•••••• B••••• left W•••• F•••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-11-03)
Nov 5, 2025 · 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: National broker-dealer RIAderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address