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•••••• L••• J••••••

P•••••••• S••••••••• I•••BD affiliatedDes Moines, Ia dual registrantIAPD 4700090

Certified Financial Planner

Feed of 09/15/2026

Also filed as K•••••• L••• Robertson

At current firm

2 y

since Feb 1, 2024

In the industry

24 y

since May 1, 2002 (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

P•••••••• S••••••••• I••• BD affiliated current
since Feb 1, 2024 · Des Moines, Ia
C••••••• P••••••• independent RIA
Dec 17, 2021 to Jan 17, 2024 · Overland Park, Ks
L•••••• I••••••••• A•••••••• L•• no RAUM
Aug 10, 2017 to Dec 17, 2021 · Charlotte, Nc
P•••••••• S••••••••• I••• BD affiliated
Apr 26, 2005 to Aug 7, 2017 · Raleigh, Nc

Moves

a registration end followed by a registration begin elsewhere

C••••••• P••••••• to P•••••••• S••••••••• I•••
left Jan 17, 2024, registered Feb 1, 2024 (15 days) · RIA to affiliated broker-dealer or bank
L•••••• I••••••••• A•••••••• L•• to C••••••• P•••••••
left Dec 17, 2021, registered Dec 17, 2021 (0 days) · corporate re-registration, not a move
P•••••••• S••••••••• I••• to L•••••• I••••••••• A•••••••• L••
left Aug 7, 2017, registered Aug 10, 2017 (3 days) · Other

Signals

K•••••• L••• J•••••• left C••••••• P••••••• for P•••••••• S••••••••• I••• (registered 2024-02-01)
Jan 17, 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address