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

N••••• K•••• C••••

T••••••••• F•••••••• A•••••••• L••BD affiliatedEmmetsburg, Ia dual registrantIAPD 5121074

Feed of 09/15/2026

Also filed as N••••• K C••••

At current firm

1 y

since Mar 10, 2025

In the industry

12 y

since Jul 1, 2014 (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

T••••••••• F•••••••• A•••••••• L•• BD affiliated current
since Mar 10, 2025 · Cedar Rapids, Ia
U••• B•••••• I••••••••• I••• former
Dec 12, 2022 to May 7, 2024 · Spencer, Ia
T••••• A••••••• S•••••••• I••• BD affiliated
Aug 26, 2016 to Aug 5, 2022 · Orlando, Fl
S••••••• I••••••••• S•••••••• I••• former
Aug 20, 2014 to Dec 31, 2016 · Orlando, Fl

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••
left May 7, 2024, registered Mar 10, 2025 (307 days) · Affiliated broker-dealer or bank to another
T••••• A••••••• S•••••••• I••• to U••• B•••••• I••••••••• I•••
left Aug 5, 2022, registered Dec 12, 2022 (129 days) · Affiliated broker-dealer or bank to another
S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••
left Dec 31, 2016, registered Aug 26, 2016 (-127 days) · corporate re-registration, not a move

Signals

N••••• K•••• C•••• left U••• B•••••• I••••••••• I••• for T••••••••• F•••••••• A•••••••• L•• (registered 2025-03-10)
May 7, 2024 · Advisor changed firm · fact
N••••• K•••• C•••• left T••••• A••••••• S•••••••• I••• for U••• B•••••• I••••••••• I••• (registered 2022-12-12)
Aug 5, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address