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

L••••• E• K•••

J•••••••• I••••••••• A••••••• L••mixed wealthNew York, Ny dual registrantIAPD 5092314

Feed of 09/14/2026

Also filed as L••••• E• K•••

At current firm

1 y

since Mar 26, 2025

In the industry

17 y

since Sep 30, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J•••••••• I••••••••• A••••••• L•• mixed wealth current
since Mar 26, 2025 · Miami, Fl
M••••• S•••••• wirehouse
Sep 19, 2022 to Mar 4, 2025 · Plantation, Fl
C•••••••• G••••• M•••••• I••• BD affiliated
Nov 5, 2019 to Sep 6, 2022 · Miami, Fl
M••••• S•••••• wirehouse
Jan 27, 2016 to Sep 10, 2019 · Aventura, Fl
W•••• F•••• A••••••• wirehouse
Sep 11, 2013 to Jan 25, 2016 · Miami, Fl
H••• S••••••••• •••• I••• BD affiliated
Jun 1, 2012 to Sep 4, 2013 · Aventura, Fl
R•••••• J•••• • A••••••••• I••• national BD
May 18, 2011 to Dec 19, 2011 · Coral Gables, Fl
M••••• S•••••• wirehouse
Jun 1, 2009 to May 26, 2011 · Miami Beach, Fl
C•••••••• G••••• M•••••• I••• BD affiliated
Jan 12, 2009 to Jun 1, 2009 · Miami Beach, Fl

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to J•••••••• I••••••••• A••••••• L••
left Mar 4, 2025, registered Mar 26, 2025 (22 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Sep 6, 2022, registered Sep 19, 2022 (13 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• to C•••••••• G••••• M•••••• I•••
left Sep 10, 2019, registered Nov 5, 2019 (56 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to M••••• S••••••
left Jan 25, 2016, registered Jan 27, 2016 (2 days) · Wirehouse to wirehouse
H••• S••••••••• •••• I••• to W•••• F•••• A•••••••
left Sep 4, 2013, registered Sep 11, 2013 (7 days) · Other
R•••••• J•••• • A••••••••• I••• to H••• S••••••••• •••• I•••
left Dec 19, 2011, registered Jun 1, 2012 (165 days) · Other
M••••• S•••••• to R•••••• J•••• • A••••••••• I•••
left May 26, 2011, registered May 18, 2011 (-8 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

L••••• E• K••• left M••••• S•••••• for J•••••••• I••••••••• A••••••• L•• (registered 2025-03-26)
Mar 4, 2025 · Advisor changed firm · fact
L••••• E• K••• left C•••••••• G••••• M•••••• I••• for M••••• S•••••• (registered 2022-09-19)
Sep 6, 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: Wealth manager with institutional or fund businessderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address