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

M•••••• K••••

A•••• C•••••• C••••BD affiliatedNew York, Ny dual registrantIAPD 4963823

Feed of 09/14/2026

Also filed as M•••••• B K••••

At current firm

4 y

since Apr 4, 2022

In the industry

20 y

since Dec 21, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A•••• C•••••• C•••• BD affiliated current
since Apr 4, 2022 · Jamaica, Ny
S• A•••••••• L•• independent RIA
Mar 30, 2022 to Apr 4, 2022 · New York, Ny
R•• C•••••• M••••••• L•• national BD
Mar 10, 2022 to Apr 21, 2022 · New York, Ny
M••••• S•••••• wirehouse
Aug 2, 2013 to Apr 8, 2022 · New York, Ny
O••••••••• • C•• I••• BD affiliated
Sep 29, 2011 to Dec 19, 2012 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to S• A•••••••• L••
left Apr 21, 2022, registered Mar 30, 2022 (-22 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to R•• C•••••• M••••••• L••
left Apr 8, 2022, registered Mar 10, 2022 (-29 days) · Wirehouse to affiliated broker-dealer or bank
S• A•••••••• L•• to A•••• C•••••• C••••
left Apr 4, 2022, registered Apr 4, 2022 (0 days) · RIA to affiliated broker-dealer or bank
O••••••••• • C•• I••• to M••••• S••••••
left Dec 19, 2012, registered Aug 2, 2013 (226 days) · Other

Signals

M•••••• K•••• left R•• C•••••• M••••••• L•• for S• A•••••••• L•• (registered 2022-03-30)
Apr 21, 2022 · Advisor changed firm · fact
M•••••• K•••• left M••••• S•••••• for R•• C•••••• M••••••• L•• (registered 2022-03-10)
Apr 8, 2022 · Advisor changed firm · fact
M•••••• K•••• left S• A•••••••• L•• for A•••• C•••••• C•••• (registered 2022-04-04)
Apr 4, 2022 · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address