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

F•••• A•••••• K••••••

N•••••• A•••••••BD affiliatedNew Orleans, La IA-onlyIAPD 4188795

Feed of 09/15/2026

Also filed as F•••• A. K••••••

At current firm

1 y

since Aug 29, 2025

In the industry

25 y

since Mar 14, 2001 (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

N•••••• A••••••• BD affiliated current
since Aug 29, 2025 · New Orleans, La
A••••• A•• P••••••• S••••••• BD affiliated
Mar 6, 2008 to Aug 7, 2025 · Pasadena, Ca
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Jul 17, 2006 to May 17, 2007 · Pasadena, Ca
C••• B•••••••• S•••••••• I••• former
Nov 26, 2003 to Jul 17, 2006 · Los Angeles, Ca
M••••• S•••••• D• I••• unclassified
Feb 5, 2002 to Nov 7, 2003 · Beverly Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

A••••• A•• P••••••• S••••••• to N•••••• A•••••••
left Aug 7, 2025, registered Aug 29, 2025 (22 days) · Affiliated broker-dealer or bank to another
B••• O• A•••••• I••••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••
left May 17, 2007, registered Mar 6, 2008 (294 days) · Other
C••• B•••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Jul 17, 2006, registered Jul 17, 2006 (0 days) · Other
M••••• S•••••• D• I••• to C••• B•••••••• S•••••••• I•••
left Nov 7, 2003, registered Nov 26, 2003 (19 days) · Other

Signals

F•••• A•••••• K•••••• left A••••• A•• P••••••• S••••••• for N•••••• A••••••• (registered 2025-08-29)
Aug 7, 2025 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address