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

D••••• M• K••••

C••••• I••••••••• A••••••• L••BD affiliatedHonolulu, Hidual registrantIAPD 4859343

Feed of 09/14/2026

Also filed as D••••• Mark K••••

At current firm

2 y

since Mar 28, 2024

In the industry

21 y

since Dec 7, 2004 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Mar 28, 2024 · Honolulu, Hi
C••• F•••••••• S•••••••• L••• former
Feb 8, 2021 to Mar 28, 2024 · Honolulu, Hi
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Feb 23, 2021 · Chicago, Il
C•••• I••••••••• S••••••• C•••• former
Apr 22, 2010 to Oct 1, 2012 · Chicago, Il
U•••• F•••••••• S••••••• G••••• I••• unclassified
Jan 24, 2008 to Nov 7, 2008 · Chicago, Il
I••• S••••••••• I••• unclassified
Jan 30, 2007 to Feb 5, 2008 · Purc••••, Ny
A••••••••• F•••••••• S•••••••• L•• national BD
Dec 8, 2004 to Mar 23, 2005 · Rosemont, Il

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to C••••• I••••••••• A••••••• L••
left Mar 28, 2024, registered Mar 28, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
J••• M••••• S••••••••• L•• to C••• F•••••••• S•••••••• L•••
left Feb 23, 2021, registered Feb 8, 2021 (-15 days) · Wirehouse to affiliated broker-dealer or bank
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
U•••• F•••••••• S••••••• G••••• I••• to C•••• I••••••••• S••••••• C••••
left Nov 7, 2008, registered Apr 22, 2010 (531 days) · Other
I••• S••••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••
left Feb 5, 2008, registered Jan 24, 2008 (-12 days) · Other
A••••••••• F•••••••• S•••••••• L•• to I••• S••••••••• I•••
left Mar 23, 2005, registered Jan 30, 2007 (678 days) · Other

Signals

D••••• M• K•••• left C••• F•••••••• S•••••••• L••• for C••••• I••••••••• A••••••• L•• (registered 2024-03-28)
Mar 28, 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address