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••••••• A••• K••••••

K•••••• F••••••••state registeredPhoenix, Az dual registrantIAPD 4822865

Certified Financial Planner

Feed of 09/15/2026

Also filed as K••••••• K•••••• Pratt

At current firm

14 y

since Jul 25, 2012

In the industry

19 y

since Apr 23, 2007 (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

C••••••••• F•••••••• N•••••• national BD current
since Jul 2, 2024 · Phoenix, Az
K•••••• F•••••••• state registered current
since Jul 25, 2012 · Phoenix, Az
O•••• W•••••• I••• BD affiliated
Sep 1, 2023 to Jul 7, 2024 · Tempe, Az
S•••••••• F••••••••• I••• former
Apr 16, 2018 to Sep 1, 2023 · Phoenix, Az
L•• F•••••••• L•• BD affiliated
Nov 29, 2017 to Apr 23, 2018 · Phoenix, Az
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Jan 31, 2011 to Dec 6, 2017 · Phoenix, Az
S•••••••• F••••••••• I••• former
Apr 1, 2009 to Apr 15, 2010 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to C••••••••• F•••••••• N••••••
left Jul 7, 2024, registered Jul 2, 2024 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
S•••••••• F••••••••• I••• to O•••• W•••••• I•••
left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to S•••••••• F••••••••• I•••
left Apr 23, 2018, registered Apr 16, 2018 (-7 days) · RIA to affiliated broker-dealer or bank · moved with a team
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to K•••••• F••••••••
left Dec 6, 2017, registered Jul 25, 2012 (-1960 days) · Other
S•••••••• F••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Apr 15, 2010, registered Jan 31, 2011 (291 days) · Other

Signals

K••••••• A••• K•••••• left O•••• W•••••• I••• for C••••••••• F•••••••• N•••••• (registered 2024-07-02)
Jul 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: STATE REGISTEREDderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address