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•••••• M•••• R••••••••

A••••••••• F•••••••• S•••••••• L••national BDThe Woodlands, Tx dual registrantIAPD 4436338

Certified Financial Planner

Feed of 09/15/2026

Also filed as Katie M•••• Howerton

At current firm

1 y

since Apr 30, 2025

In the industry

24 y

since Nov 14, 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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Apr 30, 2025 · Houston, Tx
C•••••• S••••• • C••• I••• national BD
Dec 12, 2018 to Apr 5, 2025 · The Woodlands, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 28, 2017 to Nov 30, 2018 · Houston, Tx
T• A••••••••• I••• former
Feb 28, 2017 to Nov 30, 2018 · Houston, Tx
A•••• W••••• independent RIA
May 17, 2016 to Feb 3, 2017 · The Woodlands, Tx
M••••• G••••• A••••••• I••• independent RIA
Apr 13, 2015 to Apr 20, 2016 · Sugar Land, Tx
S•••••••• A••••••• L•• national BD
Nov 9, 2006 to Mar 13, 2015 · The Woodlands, Tx

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to A••••••••• F•••••••• S•••••••• L••
left Apr 5, 2025, registered Apr 30, 2025 (25 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Nov 30, 2018, registered Feb 28, 2017 (-640 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Nov 30, 2018, registered Dec 12, 2018 (12 days) · RIA to affiliated broker-dealer or bank · moved with a team
A•••• W••••• to T• A••••••••• I•••
left Feb 3, 2017, registered Feb 28, 2017 (25 days) · Other
M••••• G••••• A••••••• I••• to A•••• W•••••
left Apr 20, 2016, registered May 17, 2016 (27 days) · Other
S•••••••• A••••••• L•• to M••••• G••••• A••••••• I•••
left Mar 13, 2015, registered Apr 13, 2015 (31 days) · Other

Signals

K•••••• M•••• R•••••••• left C•••••• S••••• • C••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-04-30)
Apr 5, 2025 · 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: National broker-dealer RIAderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address