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•••••••• A•••••••

A••••••• I••••••••• A•••••••• L••institutionalLitchfield Park, Az IA-onlyIAPD 2801481

Feed of 09/15/2026

At current firm

1 y

since Jul 28, 2025

In the industry

29 y

since Oct 8, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••• I••••••••• A•••••••• L•• institutional current
since Jul 28, 2025 · Needham, Ma
O•••• W•••••• I••• BD affiliated
Jan 11, 2024 to Feb 18, 2025 · Scottsdale, Az
E•••••• F•••••••• E•••••• independent RIA
Oct 16, 2013 to Jun 13, 2023 · Phoenix, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 13, 2012 to Jun 7, 2013 · Chandler, Az
C•••••• S••••• • C••• I••• national BD
Jun 1, 2006 to Apr 25, 2012 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to A••••••• I••••••••• A•••••••• L••
left Feb 18, 2025, registered Jul 28, 2025 (160 days) · Other
E•••••• F•••••••• E•••••• to O•••• W•••••• I•••
left Jun 13, 2023, registered Jan 11, 2024 (212 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• F•••••••• E••••••
left Jun 7, 2013, registered Oct 16, 2013 (131 days) · Other
C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 25, 2012, registered Nov 13, 2012 (202 days) · Affiliated broker-dealer or bank to wirehouse

Signals

K•••••••• A••••••• left O•••• W•••••• I••• for A••••••• I••••••••• A•••••••• L•• (registered 2025-07-28)
Feb 18, 2025 · Advisor changed firm · fact
K•••••••• A••••••• left E•••••• F•••••••• E•••••• for O•••• W•••••• I••• (registered 2024-01-11)
Jun 13, 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: Institutional managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address