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••••••••• O••••

H•••••• T••••••• • K•••• L••independent RIASt. Paul, Mn dual registrantIAPD 4602427

Feed of 09/14/2026

Also filed as K••••••••• O••••

At current firm

3 y

since Aug 7, 2023

In the industry

23 y

since Feb 10, 2003 (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

H•••••• T••••••• • K•••• L•• independent RIA current
since Aug 7, 2023 · St. Paul, Mn
L•• F•••••••• L•• BD affiliated
Oct 28, 2015 to Aug 15, 2023 · Scotch Plains, Nj
O•••• W•••••• I••• BD affiliated
Dec 8, 2009 to Jan 13, 2015 · New York, Ny
S•••••••• F••••••••• I••• former
Aug 21, 2007 to Jan 5, 2012 · Scottsdale, Az
E••••• J•••• national BD
Feb 1, 2005 to Aug 21, 2007 · Tempe, Az

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to H•••••• T••••••• • K•••• L••
left Aug 15, 2023, registered Aug 7, 2023 (-8 days) · Affiliated broker-dealer or bank to another
O•••• W•••••• I••• to L•• F•••••••• L••
left Jan 13, 2015, registered Oct 28, 2015 (288 days) · Other
S•••••••• F••••••••• I••• to O•••• W•••••• I•••
left Jan 5, 2012, registered Dec 8, 2009 (-758 days) · Other
E••••• J•••• to S•••••••• F••••••••• I•••
left Aug 21, 2007, registered Aug 21, 2007 (0 days) · Other

Signals

K••••••••• O•••• left L•• F•••••••• L•• for H•••••• T••••••• • K•••• L•• (registered 2023-08-07)
Aug 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: Independent wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address