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••••• L•••••• K•••••••••

L•• F•••••••• L••BD affiliatedColorado Springs, Codual registrantIAPD 5009147

Feed of 09/14/2026

Also filed as K••••• Reis

At current firm

1 y

since May 15, 2025

In the industry

20 y

since Nov 15, 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

L•• F•••••••• L•• BD affiliated current
since May 15, 2025 · Colorado Springs, Co
C••• F•••••••• S•••••••• L••• former
Mar 3, 2025 to May 15, 2025 · Plano, Tx
R•••••• J•••• • A••••••••• I••• national BD
Feb 14, 2023 to Mar 4, 2025 · New York, Ny
L•• F•••••••• L•• BD affiliated
Sep 9, 2022 to Feb 7, 2023 · Cedar Park, Tx
K••••• A••••••• S•••••••• L•• BD affiliated
Feb 12, 2021 to Sep 9, 2022 · Cedar Park, Tx
C••• F•••••••• S•••••••• L••• former
Jun 3, 2019 to Feb 12, 2021 · Austin, Tx
T•••••••• I••••••••• M••••••••• I•• asset manager
Jan 8, 2018 to Feb 14, 2019 · Santa Fe, Nm
M••••• S•••••• wirehouse
Jun 1, 2009 to Sep 19, 2016 · New York, Ny
M••••• S•••••• • C•• L•• unclassified
Nov 8, 2007 to Jun 1, 2009 · New York, Ny
M••••• S•••••• D• I••• unclassified
Nov 16, 2005 to Apr 10, 2006 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
R•••••• J•••• • A••••••••• I••• to C••• F•••••••• S•••••••• L•••
left Mar 4, 2025, registered Mar 3, 2025 (-1 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Feb 7, 2023, registered Feb 14, 2023 (7 days) · RIA to affiliated broker-dealer or bank
K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
left Sep 9, 2022, registered Sep 9, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
C••• F•••••••• S•••••••• L••• to K••••• A••••••• S•••••••• L••
left Feb 12, 2021, registered Feb 12, 2021 (0 days) · Affiliated broker-dealer or bank to another
T•••••••• I••••••••• M••••••••• I•• to C••• F•••••••• S•••••••• L•••
left Feb 14, 2019, registered Jun 3, 2019 (109 days) · Other
M••••• S•••••• to T•••••••• I••••••••• M••••••••• I••
left Sep 19, 2016, registered Jan 8, 2018 (476 days) · Other
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 10, 2006, registered Nov 8, 2007 (577 days) · Other

Signals

K••••• L•••••• K••••••••• left R•••••• J•••• • A••••••••• I••• for C••• F•••••••• S•••••••• L••• (registered 2025-03-03)
Mar 4, 2025 · Advisor changed firm · fact
K••••• L•••••• K••••••••• left L•• F•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2023-02-14)
Feb 7, 2023 · Advisor changed firm · fact
K••••• L•••••• K••••••••• left K••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2022-09-09)
Sep 9, 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