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

R•••••• K•••• Z••••••

A••••• A•• P••••••• S•••••••BD affiliatedActon, Ma dual registrantIAPD 4039622

Feed of 09/14/2026

Also filed as R•••••• K Z••••••

At current firm

1 y

since Oct 15, 2024

In the industry

21 y

since Aug 19, 2005 (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

A••••• A•• P••••••• S••••••• BD affiliated current
since Oct 15, 2024 · Waltham, Ma
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 25, 2023 to Sep 10, 2024 · Shrewsbury, Ma
E•••••• C•••••• M••••••••• L•• former
Jul 19, 2022 to Feb 7, 2023 · Arlington, Va
N••••••••• I••••••••• A•••••••• L•• BD affiliated
Apr 18, 2019 to Jul 1, 2021 · Columbus, Oh
C•••••••• F•••••••• G•••• A••••••• former
Oct 10, 2018 to Apr 29, 2019 · Acton, Ma
C••• B•••••••• S•••••••• I••• former
Jun 28, 2018 to Sep 14, 2018 · Waverly, Ia
A••••• A•••• M••••••••• U•• I••• former
Aug 19, 2005 to Nov 30, 2005 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to A••••• A•• P••••••• S•••••••
left Sep 10, 2024, registered Oct 15, 2024 (35 days) · Affiliated broker-dealer or bank to another
E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Feb 7, 2023, registered Apr 25, 2023 (77 days) · RIA to affiliated broker-dealer or bank
N••••••••• I••••••••• A•••••••• L•• to E•••••• C•••••• M••••••••• L••
left Jul 1, 2021, registered Jul 19, 2022 (383 days) · Affiliated broker-dealer or bank to independent RIA
C•••••••• F•••••••• G•••• A••••••• to N••••••••• I••••••••• A•••••••• L••
left Apr 29, 2019, registered Apr 18, 2019 (-11 days) · Affiliated broker-dealer or bank to another
C••• B•••••••• S•••••••• I••• to C•••••••• F•••••••• G•••• A•••••••
left Sep 14, 2018, registered Oct 10, 2018 (26 days) · RIA to affiliated broker-dealer or bank
A••••• A•••• M••••••••• U•• I••• to C••• B•••••••• S•••••••• I•••
left Nov 30, 2005, registered Jun 28, 2018 (4593 days) · Other

Signals

R•••••• K•••• Z•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for A••••• A•• P••••••• S••••••• (registered 2024-10-15)
Sep 10, 2024 · Advisor changed firm · fact
R•••••• K•••• Z•••••• left E•••••• C•••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-04-25)
Feb 7, 2023 · 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address