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

C•••••• K•••••

M••••••BD affiliatedFort Lauderdale, Fl IA-onlyIAPD 3001524

Certified Financial Planner

Feed of 09/15/2026

At current firm

1 y

since May 9, 2025

In the industry

28 y

since Feb 27, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• BD affiliated current
since May 9, 2025 · Overland Park, Ks
S•••• W••••• M••••••••• L•• BD affiliated
Nov 9, 2021 to Oct 15, 2024 · Fort Lauderdale, Fl
C•• A•••• M••••••••• G•••• independent RIA
Jan 29, 2019 to Jun 18, 2020 · Naples, Fl
J••• M••••• S••••••••• L•• wirehouse
Jun 25, 2014 to Sep 24, 2015 · Chicago, Il
C•••••• S••••• • C••• I••• national BD
Mar 5, 2007 to Jul 2, 2014 · Chicago, Il
M••••• S•••••• D• I••• unclassified
May 17, 1999 to Dec 3, 2002 · Northbrook, Il

Moves

a registration end followed by a registration begin elsewhere

S•••• W••••• M••••••••• L•• to M••••••
left Oct 15, 2024, registered May 9, 2025 (206 days) · Affiliated broker-dealer or bank to another
C•• A•••• M••••••••• G•••• to S•••• W••••• M••••••••• L••
left Jun 18, 2020, registered Nov 9, 2021 (509 days) · RIA to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to C•• A•••• M••••••••• G••••
left Sep 24, 2015, registered Jan 29, 2019 (1223 days) · Wirehouse to independent RIA
C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••
left Jul 2, 2014, registered Jun 25, 2014 (-7 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• D• I••• to C•••••• S••••• • C••• I•••
left Dec 3, 2002, registered Mar 5, 2007 (1553 days) · Other

Signals

C•••••• K••••• left S•••• W••••• M••••••••• L•• for M•••••• (registered 2025-05-09)
Oct 15, 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address