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•••••• D••

Y••• I•• L••independent RIAWellesley, Ma IA-onlyIAPD 4610481

Feed of 09/14/2026

At current firm

0 y

since May 1, 2026

In the industry

49 y

since Dec 1, 1976 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Y••• I•• L•• independent RIA current
since May 1, 2026 · St. George, Ut
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Apr 23, 2025 to Feb 19, 2026 · Braintree, Ma
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 21, 2024 to Jan 8, 2025 · Wakefield, Ma
C••••• A••••••• L•• former
Feb 6, 2019 to Mar 21, 2024 · Wakefield, Ma
K••••• A••••••• S•••••••• L•• BD affiliated
May 25, 2016 to Feb 1, 2019 · Westborough, Ma
N•• A•••••• S•••••••• L•• former
Apr 15, 2014 to Sep 22, 2016 · Austin, Tx
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jan 2, 2013 to Apr 17, 2014 · Westborough, Ma
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Nov 19, 2010 to Dec 31, 2012 · Framingham, Ma
A•••••• A••••••• S••••••• former
Aug 4, 2003 to Nov 22, 2010 · Wellesley, Ma

Moves

a registration end followed by a registration begin elsewhere

T••••••••• F•••••••• A•••••••• L•• to Y••• I•• L••
left Feb 19, 2026, registered May 1, 2026 (71 days) · Affiliated broker-dealer or bank to independent RIA
C••••• I••••••••• A••••••• L•• to T••••••••• F•••••••• A•••••••• L••
left Jan 8, 2025, registered Apr 23, 2025 (105 days) · Affiliated broker-dealer or bank to another
C••••• A••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 21, 2024, registered Mar 21, 2024 (0 days) · corporate re-registration, not a move
K••••• A••••••• S•••••••• L•• to C••••• A••••••• L••
left Feb 1, 2019, registered Feb 6, 2019 (5 days) · Affiliated broker-dealer or bank to another
N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
left Sep 22, 2016, registered May 25, 2016 (-120 days) · corporate re-registration, not a move
C•••••••• I••••••••• R••••••• A•••••••• I••• to N•• A•••••• S•••••••• L••
left Apr 17, 2014, registered Apr 15, 2014 (-2 days) · Other
A•••••• A••••••• S••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Nov 22, 2010, registered Nov 19, 2010 (-3 days) · Other

Signals

K•••••• D•• left T••••••••• F•••••••• A•••••••• L•• for Y••• I•• L•• (registered 2026-05-01)
Feb 19, 2026 · a•••••• firm change · fact
K•••••• D•• left C••••• I••••••••• A••••••• L•• for T••••••••• F•••••••• A•••••••• L•• (registered 2025-04-23)
Jan 8, 2025 · a•••••• firm change · 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: 49derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address