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

M•••••• L•••• K••••

C••••• I••••••••• A••••••• L••BD affiliatedAugusta, Gadual registrantIAPD 3235009

Feed of 09/14/2026

Also filed as M•••••• L•••• K••••

At current firm

1 y

since Sep 5, 2025

In the industry

23 y

since Dec 10, 2002 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Sep 5, 2025 · Augusta, Ga
A•••••• A••••••• S••••••• former
Jun 20, 2024 to Sep 5, 2025 · Augusta, Ga
L•• F•••••••• L•• BD affiliated
Feb 14, 2018 to Jun 24, 2024 · Augusta, Ga
I••••• F•••••••• C••••••••• former
Sep 1, 2017 to Feb 14, 2018 · Appleton, Wi
F•••• T•••• S••••••••• I••• BD affiliated
Mar 5, 2015 to Aug 29, 2017 · Augusta, Ga
W•••• F•••• A••••••• wirehouse
Aug 14, 2012 to Nov 5, 2014 · Augusta, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 22, 2009 to Aug 13, 2012 · Augusta, Ga
M••••• S•••••• wirehouse
Jun 1, 2009 to Aug 11, 2009 · Augusta, Ga
C•••••••• G••••• M•••••• I••• BD affiliated
Dec 13, 2007 to Jun 1, 2009 · Augusta, Ga

Moves

a registration end followed by a registration begin elsewhere

A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••
left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to A•••••• A••••••• S•••••••
left Jun 24, 2024, registered Jun 20, 2024 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
I••••• F•••••••• C••••••••• to L•• F•••••••• L••
left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
F•••• T•••• S••••••••• I••• to I••••• F•••••••• C•••••••••
left Aug 29, 2017, registered Sep 1, 2017 (3 days) · Other
W•••• F•••• A••••••• to F•••• T•••• S••••••••• I•••
left Nov 5, 2014, registered Mar 5, 2015 (120 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Aug 13, 2012, registered Aug 14, 2012 (1 days) · Wirehouse to wirehouse
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 11, 2009, registered Jul 22, 2009 (-20 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

M•••••• L•••• K•••• left L•• F•••••••• L•• for A•••••• A••••••• S••••••• (registered 2024-06-20)
Jun 24, 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address