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•••••••• K•• L••••• M••••••

R•••••• J•••• • A••••••••• I•••national BDDenver, Co dual registrantIAPD 2859977

Feed of 09/14/2026

Also filed as K•••••••• K•• L••••• M••••••

At current firm

3 y

since Apr 26, 2023

In the industry

17 y

since Jan 6, 2009 (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

R•••••• J•••• • A••••••••• I••• national BD current
since Apr 26, 2023 · Denver, Co
K••••• A••••••• S•••••••• L•• BD affiliated
Jan 9, 2023 to Apr 14, 2023 · Englewood, Co
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 10, 2016 to Jan 5, 2023 · Denver, Co
R•• C•••••• M••••••• L•• national BD
Nov 26, 2012 to Aug 22, 2016 · Greenwood Village, Co
W•• A•••••••• L• former
Oct 25, 2012 to Nov 26, 2012 · Highlands Ranch, Co
S•••••• N••••••• • C••••••• I••••••••• national BD
May 29, 2009 to Apr 16, 2012 · Denver, Co
W•••• F•••• A••••••• wirehouse
Jan 7, 2009 to Jun 1, 2009 · Greenwood Village, Co

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Apr 14, 2023, registered Apr 26, 2023 (12 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
left Jan 5, 2023, registered Jan 9, 2023 (4 days) · Affiliated broker-dealer or bank to another
R•• C•••••• M••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Aug 22, 2016, registered Aug 10, 2016 (-12 days) · Affiliated broker-dealer or bank to another
W•• A•••••••• L• to R•• C•••••• M••••••• L••
left Nov 26, 2012, registered Nov 26, 2012 (0 days) · Other
S•••••• N••••••• • C••••••• I••••••••• to W•• A•••••••• L•
left Apr 16, 2012, registered Oct 25, 2012 (192 days) · Other
W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••
left Jun 1, 2009, registered May 29, 2009 (-3 days) · Wirehouse to affiliated broker-dealer or bank

Signals

K•••••••• K•• L••••• M•••••• left K••••• A••••••• S•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2023-04-26)
Apr 14, 2023 · Advisor changed firm · fact
K•••••••• K•• L••••• M•••••• left A••••••••• F•••••••• S•••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2023-01-09)
Jan 5, 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: National broker-dealer RIAderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address