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.
Registered advisor
Kari Middleton
Feed of 09/14/2026
Also filed as Kari Middleton
At current firm
1 y
since Aug 12, 2025
In the industry
25 y
since Apr 30, 2001 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Aug 12, 2025 · Bermuda Dunes, Ca
- Integrated Wealth Management, Inc. formerFeb 9, 2010 to Jan 13, 2011 · Marina Del Rey, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMay 9, 2008 to Jan 25, 2010 · Indian Wells, Ca
- Banc Of America Investment Services, Inc. unclassifiedJan 24, 2005 to May 16, 2006 · San Diego, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMay 8, 2001 to Mar 10, 2005 · La Jolla, Ca
Moves
a registration end followed by a registration begin elsewhere
- Integrated Wealth Management, Inc. to LPL Financial LLCleft Jan 13, 2011, registered Aug 12, 2025 (5325 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Integrated Wealth Management, Inc.left Jan 25, 2010, registered Feb 9, 2010 (15 days) · Other
- Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft May 16, 2006, registered May 9, 2008 (724 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Banc Of America Investment Services, Inc.left Mar 10, 2005, registered Jan 24, 2005 (-45 days) · Other
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
- 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