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•••• E•••• T••••

K••••• A••••••• S•••••••• L••BD affiliatedAtlanta, Ga dual registrantIAPD 4431852

Feed of 09/15/2026

Also filed as S•••• E•••• T••••

At current firm

3 y

since Mar 30, 2023

In the industry

25 y

since Sep 10, 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

K••••• A••••••• S•••••••• L•• BD affiliated current
since Mar 30, 2023 · Atlanta, Ga
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 13, 2019 to Mar 31, 2023 · Duluth, Ga
P•• W••••• M••••••••• BD affiliated
Jun 28, 2018 to Aug 2, 2019 · Camp Hill, Pa
F••••••••• A••••••• former
Nov 27, 2013 to Jun 25, 2018 · Warren, Nj
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 2, 2011 to Dec 8, 2011 · Duluth, Ga

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
left Mar 31, 2023, registered Mar 30, 2023 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
P•• W••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••
left Aug 2, 2019, registered Aug 13, 2019 (11 days) · Affiliated broker-dealer or bank to another
F••••••••• A••••••• to P•• W••••• M•••••••••
left Jun 25, 2018, registered Jun 28, 2018 (3 days) · RIA to affiliated broker-dealer or bank
A••••••••• F•••••••• S•••••••• L•• to F••••••••• A•••••••
left Dec 8, 2011, registered Nov 27, 2013 (720 days) · Other

Signals

S•••• E•••• T•••• left A••••••••• F•••••••• S•••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2023-03-30)
Mar 31, 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: 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