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.
Registered advisor
Kenneth Doyle Shuler
Feed of 09/14/2026
At current firm
5 y
since Feb 1, 2021
In the industry
20 y
since Nov 4, 2005 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Ptma Investment Advisors asset manager currentsince Feb 1, 2021 · Naperville, Il
- RBC Capital Markets, LLC national BDSep 23, 2019 to Jan 29, 2021 · Lancaster, Pa
- RBC Capital Markets, LLC national BDMar 5, 2012 to Jun 6, 2018 · Lancaster, Pa
Moves
a registration end followed by a registration begin elsewhere
- RBC Capital Markets, LLC to Ptma Investment Advisorsleft Jan 29, 2021, registered Feb 1, 2021 (3 days) · Other · moved with a team
Signals
No dated event on this person.
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address