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

E•••••••• J••••• K•••••

H•••••• T••••••• • K•••• L••independent RIASanta Fe, Tx dual registrantIAPD 2714019

Feed of 09/15/2026

Also filed as E•••••••• J••••• K•••••

At current firm

2 y

since Apr 24, 2024

In the industry

25 y

since Apr 12, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H•••••• T••••••• • K•••• L•• independent RIA current
since Apr 24, 2024 · Santa Fe, Tx
L•• F•••••••• L•• BD affiliated
Mar 7, 2024 to May 10, 2024 · San Diego, Ca
C•••••• G•••• • C• I•• former
Apr 11, 2023 to Aug 2, 2023 · Syracuse, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 8, 2018 to Jan 31, 2023 · Miami, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 10, 2015 to Jan 18, 2018 · Houston, Tx
F•• A••••••• S••••••• I•• unclassified
Aug 28, 2002 to Dec 14, 2005 · Chesterfield, Mo

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to H•••••• T••••••• • K•••• L••
left May 10, 2024, registered Apr 24, 2024 (-16 days) · Affiliated broker-dealer or bank to another
C•••••• G•••• • C• I•• to L•• F•••••••• L••
left Aug 2, 2023, registered Mar 7, 2024 (218 days) · Affiliated broker-dealer or bank to another · moved with a team
C•••••••• G••••• M•••••• I••• to C•••••• G•••• • C• I••
left Jan 31, 2023, registered Apr 11, 2023 (70 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••
left Jan 18, 2018, registered Feb 8, 2018 (21 days) · Wirehouse to affiliated broker-dealer or bank
F•• A••••••• S••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 14, 2005, registered Jul 10, 2015 (3495 days) · Other

Signals

E•••••••• J••••• K••••• left L•• F•••••••• L•• for H•••••• T••••••• • K•••• L•• (registered 2024-04-24)
May 10, 2024 · Advisor changed firm · fact
E•••••••• J••••• K••••• left C•••••• G•••• • C• I•• for L•• F•••••••• L•• (registered 2024-03-07)
Aug 2, 2023 · Advisor changed firm · fact
E•••••••• J••••• K••••• left C•••••••• G••••• M•••••• I••• for C•••••• G•••• • C• I•• (registered 2023-04-11)
Jan 31, 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: Independent wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address