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••• R••• C•••••••••

C•••••• S••••• • C••• I•••national BDSouthlake, Tx dual registrantIAPD 5068813

Feed of 09/14/2026

Also filed as K••• C•••••••••

At current firm

2 y

since Jul 17, 2024

In the industry

20 y

since Apr 17, 2006 (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

C•••••• S••••• • C••• I••• national BD current
since Jul 17, 2024 · Southlake, Tx
M••••• S•••••• wirehouse
Feb 20, 2024 to Jul 2, 2024 · Purchase, Ny
C•••••• S••••• • C••• I••• national BD
Jul 19, 2018 to Feb 9, 2024 · Chicago, Il
M• H••••••• S••••••••• I••• BD affiliated
Jul 19, 2017 to Jul 10, 2018 · Westchester, Il
M• H••••••• S••••••••• I••• BD affiliated
Jan 14, 2016 to May 5, 2017 · Portland, Or
C••••• A•••••• N••••••• L•• former
Jun 6, 2011 to Jan 4, 2016 · El Segundo, Ca
B••••••••• S••••••••• C••••••••• unclassified
May 11, 2006 to Jun 28, 2007 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to C•••••• S••••• • C••• I•••
left Jul 2, 2024, registered Jul 17, 2024 (15 days) · Wirehouse to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to M••••• S••••••
left Feb 9, 2024, registered Feb 20, 2024 (11 days) · Affiliated broker-dealer or bank to wirehouse
M• H••••••• S••••••••• I••• to C•••••• S••••• • C••• I•••
left Jul 10, 2018, registered Jul 19, 2018 (9 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to M• H••••••• S••••••••• I•••
left Jan 4, 2016, registered Jan 14, 2016 (10 days) · Other
B••••••••• S••••••••• C••••••••• to C••••• A•••••• N••••••• L••
left Jun 28, 2007, registered Jun 6, 2011 (1439 days) · Other

Signals

K••• R••• C••••••••• left M••••• S•••••• for C•••••• S••••• • C••• I••• (registered 2024-07-17)
Jul 2, 2024 · a•••••• firm change · fact
K••• R••• C••••••••• left C•••••• S••••• • C••• I••• for M••••• S•••••• (registered 2024-02-20)
Feb 9, 2024 · a•••••• firm change · 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: National broker-dealer RIAderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address