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

D•••• R••• S•••••

K••••• A••••••• S•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 4501238

Feed of 09/15/2026

At current firm

2 y

since May 3, 2024

In the industry

22 y

since Apr 19, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

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 May 3, 2024 · Austin, Tx
O•••• W•••••• I••• BD affiliated
Jan 19, 2024 to May 7, 2024 · Germantown, Md
W••••••• F•••••••• S•••••••• I••• former
Jul 17, 2017 to Jan 19, 2024 · Germantown, Md
S•• A•••••••• I••• former
Nov 10, 2016 to Jun 21, 2017 · Urbana, Md
O••••••• P••••••• P••••••• S••••••••• L•• former
Sep 16, 2013 to Dec 1, 2016 · Rockville, Md
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Sep 20, 2006 to Nov 11, 2016 · Gaithersburg, Md
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Jan 3, 2005 to Jan 31, 2006 · Rockville, Md
S••••••• I••••••••• S•••••••• I••• former
Apr 20, 2004 to Dec 3, 2004 · Vienna, Vt

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to K••••• A••••••• S•••••••• L••
left May 7, 2024, registered May 3, 2024 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
S•• A•••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Jun 21, 2017, registered Jul 17, 2017 (26 days) · Other
O••••••• P••••••• P••••••• S••••••••• L•• to S•• A•••••••• I•••
left Dec 1, 2016, registered Nov 10, 2016 (-21 days) · Other
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to O••••••• P••••••• P••••••• S••••••••• L••
left Nov 11, 2016, registered Sep 16, 2013 (-1152 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Jan 31, 2006, registered Sep 20, 2006 (232 days) · Other
S••••••• I••••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Dec 3, 2004, registered Jan 3, 2005 (31 days) · Other

Signals

D•••• R••• S••••• left O•••• W•••••• I••• for K••••• A••••••• S•••••••• L•• (registered 2024-05-03)
May 7, 2024 · 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address