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•••••

C••••••••• I••••••••• A•••••••• L••independent RIATampa, Fl IA-onlyIAPD 3159527

Certified Financial Planner

Feed of 09/15/2026

Also filed as Ken P•••••

At current firm

1 y

since Oct 1, 2024

In the industry

27 y

since Apr 19, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• I••••••••• A•••••••• L•• i••••••••• wealth current
since Oct 1, 2024 · St. Simons Island, Ga
I•••••• W••••• L•• i••••••••• wealth
Jan 17, 2023 to Jun 13, 2024 · Mount Pleasant, Sc
E••••••••• P•••••••• L•• former
Feb 15, 2019 to Jul 22, 2022 · St. Simons Island, Ga
I••••••••• F•••••••• P••••••• BD affiliated
Aug 2, 2010 to Jan 15, 2019 · St Simons, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 14, 2004 to Jun 22, 2010 · Brunswick, Ga

Moves

a registration end followed by a registration begin elsewhere

I•••••• W••••• L•• to C••••••••• I••••••••• A•••••••• L••
left Jun 13, 2024, registered Oct 1, 2024 (110 days) · RIA to RIA
E••••••••• P•••••••• L•• to I•••••• W••••• L••
left Jul 22, 2022, registered Jan 17, 2023 (179 days) · RIA to RIA · moved with a team
I••••••••• F•••••••• P••••••• to E••••••••• P•••••••• L••
left Jan 15, 2019, registered Feb 15, 2019 (31 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• F•••••••• P•••••••
left Jun 22, 2010, registered Aug 2, 2010 (41 days) · Other

Signals

K•••••• L••• P••••• left I•••••• W••••• L•• for C••••••••• I••••••••• A•••••••• L•• (registered 2024-10-01)
Jun 13, 2024 · Advisor changed firm · fact
K•••••• L••• P••••• left E••••••••• P•••••••• L•• for I•••••• W••••• L•• (registered 2023-01-17)
Jul 22, 2022 · 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: Independent wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address