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••• C••••••••• K••••••

C••••• I••••••••• A••••••• L••BD affiliatedWest Hartford, Ctdual registrantIAPD 4301109

Feed of 09/14/2026

Also filed as R••• C••••••••• K••••••

At current firm

3 y

since Jun 29, 2023

In the industry

25 y

since Jan 5, 2001 (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•• BD affiliated current
since Jun 29, 2023 · West Hartford, Ct
C••••••• • C••• I••• former
Apr 20, 2012 to Dec 9, 2022 · West Hartford, Ct
M••••• S•••••• wirehouse
Jun 1, 2009 to Apr 30, 2012 · Hartford, Ct
M••••• S•••••• • C•• L•• unclassified
Feb 1, 2008 to Jun 1, 2009 · Hartford, Ct
C•••••••• G••••• M•••••• I••• BD affiliated
Apr 12, 2001 to Feb 7, 2008 · Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

C••••••• • C••• I••• to C••••• I••••••••• A••••••• L••
left Dec 9, 2022, registered Jun 29, 2023 (202 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to C••••••• • C••• I•••
left Apr 30, 2012, registered Apr 20, 2012 (-10 days) · Other
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••
left Feb 7, 2008, registered Feb 1, 2008 (-6 days) · Other

Signals

R••• C••••••••• K•••••• left C••••••• • C••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)
Dec 9, 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: 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