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•••• L••••••

L•••• F••• A••••••• S•••••••BD affiliatedDallas, Txdual registrantIAPD 4613580

Feed of 09/14/2026

Also filed as Karen M Kramer

At current firm

3 y

since Oct 20, 2022

In the industry

14 y

since Dec 28, 2011 (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

L•••• F••• A••••••• S••••••• BD affiliated current
since Oct 20, 2022 · Dallas, Tx
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Aug 16, 2021 to Oct 14, 2022 · Dallas, Tx
P•• A••••••• S•••••••• L•• i••••••••• wealth
May 7, 2021 to Aug 10, 2021 · Albany, Ny
C••••••• A•••• M••••••••• L•• BD affiliated
Apr 11, 2018 to Mar 15, 2021 · Ann Arbor, Mi
W••••••• F•••••••• S•••••••• I••• former
Oct 7, 2014 to Apr 4, 2018 · Phoenix, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 23, 2014 to Sep 4, 2014 · Chandler, Az
I••••••••• F•••••••• G••••• L•• BD affiliated
Jul 2, 2013 to Apr 21, 2014 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•••• F••• A••••••• S•••••••
left Oct 14, 2022, registered Oct 20, 2022 (6 days) · Affiliated broker-dealer or bank to another
P•• A••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Aug 10, 2021, registered Aug 16, 2021 (6 days) · RIA to affiliated broker-dealer or bank
C••••••• A•••• M••••••••• L•• to P•• A••••••• S•••••••• L••
left Mar 15, 2021, registered May 7, 2021 (53 days) · Affiliated broker-dealer or bank to independent RIA
W••••••• F•••••••• S•••••••• I••• to C••••••• A•••• M••••••••• L••
left Apr 4, 2018, registered Apr 11, 2018 (7 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••••• F•••••••• S•••••••• I•••
left Sep 4, 2014, registered Oct 7, 2014 (33 days) · Other
I••••••••• F•••••••• G••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 21, 2014, registered Jul 23, 2014 (93 days) · Other

Signals

K•••• M•••• L•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for L•••• F••• A••••••• S••••••• (registered 2022-10-20)
Oct 14, 2022 · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address