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

D•••• K•••• R••••••

A••• A••••••• P•••••••BD affiliatedNew York, Ny dual registrantIAPD 2800332

Feed of 09/15/2026

Also filed as D•••• K R••••••

At current firm

0 y

since Jul 19, 2026

In the industry

19 y

since Oct 7, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••• A••••••• P••••••• BD affiliated current
since Jul 19, 2026 · Houston , Tx
U••• C•••••• W••••• A•••••••• L•• BD affiliated
Jun 30, 2021 to Jul 21, 2026 · Austin, Tx
U••• A•••• M••••••••• L•• asset manager
Mar 3, 2017 to Mar 13, 2024 · Houston, Tx
U••• R•• L•• former
Jun 24, 2015 to Jun 30, 2021 · Houston, Tx
U•• F•••••••• S••••••• I••• wirehouse
Oct 9, 2006 to Jul 6, 2015 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

U••• C•••••• W••••• A•••••••• L•• to A••• A••••••• P•••••••
left Jul 21, 2026, registered Jul 19, 2026 (-2 days) · corporate re-registration, not a move
U••• A•••• M••••••••• L•• to U••• C•••••• W••••• A•••••••• L••
left Mar 13, 2024, registered Jun 30, 2021 (-987 days) · Other · moved with a team
U••• R•• L•• to U••• A•••• M••••••••• L••
left Jun 30, 2021, registered Mar 3, 2017 (-1580 days) · Other · moved with a team
U•• F•••••••• S••••••• I••• to U••• R•• L••
left Jul 6, 2015, registered Jun 24, 2015 (-12 days) · Other · moved with a team

Signals

D•••• K•••• R•••••• left U••• A•••• M••••••••• L•• for U••• C•••••• W••••• A•••••••• L•• (registered 2021-06-30)
Mar 13, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address