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.

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Registered advisor

K•••• G••• C••••••

L•• F•••••••• L••BD affiliatedSan Antonio, TxIA-onlyIAPD 4329646

Feed of 09/14/2026

At current firm

2 y

since Aug 1, 2024

In the industry

25 y

since Mar 16, 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

L•• F•••••••• L•• BD affiliated current
since Aug 1, 2024 · San Antonio, Tx
K•••• C•••••• I••••••••• L•• unclassified
May 7, 2013 to Dec 31, 2024 · San Antonio, Tx
S••• W••••• M••••••••• L•• unclassified
Feb 28, 2013 to Dec 31, 2024 · San Antonio, Tx
B• R•••• W••••• M••••••••• former
Oct 13, 2008 to Jul 1, 2009 · San Antonio, Tx
A•••• A•••• A••••••• former
May 11, 2006 to May 28, 2013 · San Antonio, Tx
W•••• F•••• A••••••• wirehouse
May 31, 2005 to May 19, 2006 · Lubbock, Tx
M••••• S•••••• D• I••• unclassified
Mar 19, 2001 to Jun 1, 2005 · San Antonio, Tx

Moves

a registration end followed by a registration begin elsewhere

S••• W••••• M••••••••• L•• to K•••• C•••••• I••••••••• L••
left Dec 31, 2024, registered May 7, 2013 (-4256 days) · Other
K•••• C•••••• I••••••••• L•• to L•• F•••••••• L••
left Dec 31, 2024, registered Aug 1, 2024 (-152 days) · Other
A•••• A•••• A••••••• to B• R•••• W••••• M•••••••••
left May 28, 2013, registered Oct 13, 2008 (-1688 days) · Other
B• R•••• W••••• M••••••••• to S••• W••••• M••••••••• L••
left Jul 1, 2009, registered Feb 28, 2013 (1338 days) · Other
W•••• F•••• A••••••• to A•••• A•••• A•••••••
left May 19, 2006, registered May 11, 2006 (-8 days) · Other
M••••• S•••••• D• I••• to W•••• F•••• A•••••••
left Jun 1, 2005, registered May 31, 2005 (-1 days) · Other

Signals

K•••• G••• C•••••• left S••• W••••• M••••••••• L•• for K•••• C•••••• I••••••••• L•• (registered 2013-05-07)
Dec 31, 2024 · Advisor changed firm · fact
K•••• G••• C•••••• left K•••• C•••••• I••••••••• L•• for L•• F•••••••• L•• (registered 2024-08-01)
Dec 31, 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address