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•••• L••••

P•• W••••• M•••••••••BD affiliatedRadnor, Pa dual registrantIAPD 3089827

Certified Financial Planner

Feed of 09/14/2026

Also filed as K•••• L••••

At current firm

1 y

since Sep 19, 2024

In the industry

27 y

since Oct 2, 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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•• W••••• M••••••••• BD affiliated current
since Sep 19, 2024 · Drexel Hill, Pa
C•••••• A••••••• BD affiliated
Aug 29, 2023 to Sep 3, 2024 · Horsham, Pa
L•••••• I••••••••• independent RIA
Aug 29, 2023 to Sep 3, 2024 · Horsham, Pa
H••••••• F•••• asset manager
Sep 27, 2018 to Nov 8, 2021 · Wayne, Pa
E•••••• F•••••••• E•••••• independent RIA
Nov 30, 2016 to Feb 27, 2018 · Santa Clara, Ca
F•••••••• E•••••• A•••••• C•••••• L•• former
Apr 2, 2015 to Nov 30, 2016 · Santa Clara, Ca
S•••• H••••• C•••••• M••••••••• L•• unclassified
Jun 18, 2012 to Dec 31, 2014 · S•••• H•••••, Nj
H••• S••••••••• •••• I••• BD affiliated
Dec 1, 2006 to Jul 30, 2010 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

L•••••• I••••••••• to C•••••• A•••••••
left Sep 3, 2024, registered Aug 29, 2023 (-371 days) · RIA to affiliated broker-dealer or bank · moved with a team
C•••••• A••••••• to P•• W••••• M•••••••••
left Sep 3, 2024, registered Sep 19, 2024 (16 days) · Affiliated broker-dealer or bank to another
H••••••• F•••• to L•••••• I•••••••••
left Nov 8, 2021, registered Aug 29, 2023 (659 days) · Other
E•••••• F•••••••• E•••••• to H••••••• F••••
left Feb 27, 2018, registered Sep 27, 2018 (212 days) · Other
F•••••••• E•••••• A•••••• C•••••• L•• to E•••••• F•••••••• E••••••
left Nov 30, 2016, registered Nov 30, 2016 (0 days) · corporate re-registration, not a move
S•••• H••••• C•••••• M••••••••• L•• to F•••••••• E•••••• A•••••• C•••••• L••
left Dec 31, 2014, registered Apr 2, 2015 (92 days) · Other
H••• S••••••••• •••• I••• to S•••• H••••• C•••••• M••••••••• L••
left Jul 30, 2010, registered Jun 18, 2012 (689 days) · Other

Signals

K•••• L•••• left C•••••• A••••••• for P•• W••••• M••••••••• (registered 2024-09-19)
Sep 3, 2024 · a•••••• firm change · fact
K•••• L•••• left L•••••• I••••••••• for C•••••• A••••••• (registered 2023-08-29)
Sep 3, 2024 · a•••••• firm change · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address