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•••• K•••••••

K•• W••••• P•••••••state registeredNorthbrook, Ildual registrantIAPD 4886140

Feed of 09/14/2026

Also filed as K•••• K•••••••

At current firm

2 y

since May 23, 2024

In the industry

21 y

since May 7, 2005 (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

K•• W••••• P••••••• state registered current
since May 23, 2024 · Northbrook, Il
K••••• A••••••• S•••••••• L•• BD affiliated
Dec 11, 2019 to May 23, 2024 · Northbrook, Il
T•• A•••••••• I••• BD affiliated
Dec 4, 2012 to Dec 12, 2019 · Northbrook, Il
H•••••• T••••••• • K•••• L•• independent RIA
Aug 2, 2010 to Dec 11, 2012 · Chicago, Il
E•••••••• A•••••••• L•• national BD
Jan 4, 2006 to Jul 28, 2010 · Northbrook, Il

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to K•• W••••• P•••••••
left May 23, 2024, registered May 23, 2024 (0 days) · Affiliated broker-dealer or bank to a state-registered adviser
T•• A•••••••• I••• to K••••• A••••••• S•••••••• L••
left Dec 12, 2019, registered Dec 11, 2019 (-1 days) · Affiliated broker-dealer or bank to another
H•••••• T••••••• • K•••• L•• to T•• A•••••••• I•••
left Dec 11, 2012, registered Dec 4, 2012 (-7 days) · Other
E•••••••• A•••••••• L•• to H•••••• T••••••• • K•••• L••
left Jul 28, 2010, registered Aug 2, 2010 (5 days) · Other

Signals

K•••• K••••••• left K••••• A••••••• S•••••••• L•• for K•• W••••• P••••••• (registered 2024-05-23)
May 23, 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address