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

K•••••• D•••••• K•••••

M•• I••••••• I••••••••• L••formerSedona, Az IA-onlyIAPD 4332309

Certified Financial Planner

Feed of 09/15/2026

Also filed as K•••••• D K•••••

At current firm

0 y

since Mar 30, 2026

In the industry

25 y

since Mar 20, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•• I••••••• I••••••••• L•• former current
since Mar 30, 2026 · Sedona, Az
S••••• W••••• A•••••••• I••• no RAUM
Aug 1, 2016 to Jan 9, 2017 · Phoenix, Az
C•••••• S••••• • C••• I••• national BD
Jul 29, 2016 to Apr 10, 2018 · Phoenix, Az
U••• F•••••••• P••••••• S••••••• former
Dec 15, 2008 to May 25, 2016 · Phoenix, Az
U••• I••••••••• S••••••• C•••••• no RAUM
May 5, 2006 to Dec 31, 2008 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
left Apr 10, 2018, registered Aug 1, 2016 (-617 days) · channel change inside one enterprise, not a move
S••••• W••••• A•••••••• I••• to M•• I••••••• I••••••••• L••
left Jan 9, 2017, registered Mar 30, 2026 (3367 days) · Other
U••• F•••••••• P••••••• S••••••• to C•••••• S••••• • C••• I•••
left May 25, 2016, registered Jul 29, 2016 (65 days) · Other
U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••
left Dec 31, 2008, registered Dec 15, 2008 (-16 days) · corporate re-registration, not a move

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