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

A••••• L••••••• M•••••

K••••• A••••••• S•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 4888607

Certified Financial Planner

Feed of 09/15/2026

At current firm

0 y

since Nov 21, 2025

In the industry

21 y

since Feb 18, 2005 (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

K••••• A••••••• S•••••••• L•• BD affiliated current
since Nov 21, 2025 · Ferndale, Wa
C••••••••• F•••••••• N•••••• national BD
May 4, 2020 to Nov 20, 2025 · San Diego, Ca
K•• F•••••••• S•••••••• I•• former
May 21, 2009 to May 4, 2020 · Redmond, Wa
C••••••••• F•••••••• N•••••• national BD
Jan 2, 2008 to Apr 15, 2009 · Lynnwood, Wa
E•••••••• A•••••••• L•• national BD
Mar 29, 2005 to Dec 19, 2007 · Bellevue, Wa

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to K••••• A••••••• S•••••••• L••
left Nov 20, 2025, registered Nov 21, 2025 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
K•• F•••••••• S•••••••• I•• to C••••••••• F•••••••• N••••••
left May 4, 2020, registered May 4, 2020 (0 days) · Affiliated broker-dealer or bank to another
C••••••••• F•••••••• N•••••• to K•• F•••••••• S•••••••• I••
left Apr 15, 2009, registered May 21, 2009 (36 days) · Other
E•••••••• A•••••••• L•• to C••••••••• F•••••••• N••••••
left Dec 19, 2007, registered Jan 2, 2008 (14 days) · Affiliated broker-dealer or bank to another

Signals

A••••• L••••••• M••••• left C••••••••• F•••••••• N•••••• for K••••• A••••••• S•••••••• L•• (registered 2025-11-21)
Nov 20, 2025 · 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