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

L••• F••••••

W•••• F•••• A•••••••wirehouseSt. Louis, Mo dual registrantIAPD 3242238

Feed of 09/14/2026

Also filed as L••• Kathryn F••••••

At current firm

6 y

since Oct 18, 2019

In the industry

25 y

since Oct 30, 2000 (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

W•••• F•••• A••••••• wirehouse current
since Oct 18, 2019 · St. Louis, Mo
C•••••••• W••••• C••••••••• L•• former
Jun 28, 2019 to Oct 18, 2019 · Charlotte, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 7, 2018 to Mar 8, 2019 · Charlotte, Nc
W•••• F•••• A••••••• wirehouse
Mar 29, 2011 to Jun 27, 2018 · Charlotte, Nc
L•• F•••••••• L•• BD affiliated
Jul 1, 2010 to Oct 14, 2010 · Knoxville, Tn
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 19, 2007 to Dec 4, 2009 · Knoxville, Tn
M••••• K••••• • C••••••• L•• former
Feb 13, 2007 to Aug 28, 2007 · Knoxville, Tn
A•••••• I••••••••• M••••••••• C•••••• L•• unclassified
Feb 8, 2005 to Feb 13, 2007 · Clinton, Tn
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Jan 4, 2001 to Nov 20, 2003 · Chattanooga, Tn

Moves

a registration end followed by a registration begin elsewhere

C•••••••• W••••• C••••••••• L•• to W•••• F•••• A•••••••
left Oct 18, 2019, registered Oct 18, 2019 (0 days) · RIA to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• W••••• C••••••••• L••
left Mar 8, 2019, registered Jun 28, 2019 (112 days) · Wirehouse to independent RIA
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 27, 2018, registered Aug 7, 2018 (41 days) · Wirehouse to wirehouse · moved with a team
L•• F•••••••• L•• to W•••• F•••• A•••••••
left Oct 14, 2010, registered Mar 29, 2011 (166 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
left Dec 4, 2009, registered Jul 1, 2010 (209 days) · Other
M••••• K••••• • C••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 28, 2007, registered Nov 19, 2007 (83 days) · Other
A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••
left Feb 13, 2007, registered Feb 13, 2007 (0 days) · corporate re-registration, not a move
B••• O• A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••
left Nov 20, 2003, registered Feb 8, 2005 (446 days) · Other

Signals

No dated event on this person.

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: Wirehousederived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address