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••••••• M••••••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseChicago, Ildual registrantIAPD 2815492

Feed of 09/14/2026

Also filed as Kathy Harrington

At current firm

7 y

since Nov 16, 2018

In the industry

23 y

since Aug 13, 2003 (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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Nov 16, 2018 · Chicago, Il
R••••• W• B•••• • C•• I••••••••• mixed wealth
Aug 11, 2008 to Nov 9, 2018 · Chicago, Il
M••••• S•••••• • C•• L•• unclassified
Dec 5, 2007 to Jul 8, 2008 · Chicago, Il
C•••••• S••••• • C••• I••• national BD
Dec 21, 2005 to Oct 9, 2007 · Newport Beach, Ca
C•••• I••••••••• S••••••• C•••• former
Jul 6, 2005 to Oct 25, 2005 · Chicago, Il
B••• O•• S••••••••• C••••••••• unclassified
Aug 14, 2003 to Jul 6, 2005 · Winnetka, Il

Moves

a registration end followed by a registration begin elsewhere

R••••• W• B•••• • C•• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 9, 2018, registered Nov 16, 2018 (7 days) · RIA to wirehouse
M••••• S•••••• • C•• L•• to R••••• W• B•••• • C•• I•••••••••
left Jul 8, 2008, registered Aug 11, 2008 (34 days) · Other
C•••••• S••••• • C••• I••• to M••••• S•••••• • C•• L••
left Oct 9, 2007, registered Dec 5, 2007 (57 days) · Other
C•••• I••••••••• S••••••• C•••• to C•••••• S••••• • C••• I•••
left Oct 25, 2005, registered Dec 21, 2005 (57 days) · Other
B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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: Wirehousederived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address