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

S••••• B•••••••• C••••

K••••••••• A•••• M••••••••• L••asset managerAustin, Txdual registrantIAPD 4386630

Feed of 09/14/2026

At current firm

1 y

since Feb 28, 2025

In the industry

25 y

since May 11, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K••••••••• A•••• M••••••••• L•• asset manager current
since Feb 28, 2025 · Austin, Tx
S•••••• P••••••• I••••••••• S••••••••• L•• former
Apr 24, 2018 to Sep 15, 2023 · Portland, Or
M• H••••••• S••••••••• I••• BD affiliated
Jun 16, 2011 to May 12, 2017 · Portland, Or
W•••• F•••• A••••••• wirehouse
May 18, 2007 to Sep 24, 2008 · Portland, Or
W•••• F•••• I••••••••• L•• unclassified
Aug 23, 2006 to Feb 21, 2007 · Beaverton, Or

Moves

a registration end followed by a registration begin elsewhere

S•••••• P••••••• I••••••••• S••••••••• L•• to K••••••••• A•••• M••••••••• L••
left Sep 15, 2023, registered Feb 28, 2025 (532 days) · Other
M• H••••••• S••••••••• I••• to S•••••• P••••••• I••••••••• S••••••••• L••
left May 12, 2017, registered Apr 24, 2018 (347 days) · Other
W•••• F•••• A••••••• to M• H••••••• S••••••••• I•••
left Sep 24, 2008, registered Jun 16, 2011 (995 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Feb 21, 2007, registered May 18, 2007 (86 days) · Other

Signals

S••••• B•••••••• C•••• left S•••••• P••••••• I••••••••• S••••••••• L•• for K••••••••• A•••• M••••••••• L•• (registered 2025-02-28)
Sep 15, 2023 · 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address