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.
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Registered advisor
K••••••• S••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
1 y
since Mar 31, 2025
In the industry
20 y
since Jun 19, 2006 (earliest exam, job or registration)
Prior registered firms
11
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Annapolis, Md
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 26, 2021 to Mar 31, 2025 · Annapolis, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 24, 2020 to Feb 8, 2021 · Annapolis, Md
- A••••••••• F•••••••• S•••••••• L•• national BDAug 29, 2018 to Aug 13, 2020 · Annapolis, Md
- A••••••• F•••••••• A•••••••• L•• BD affiliatedApr 18, 2018 to Aug 16, 2018 · Annapolis, Md
- C•••••• S••••• • C••• I••• national BDSep 1, 2015 to Apr 13, 2018 · Annapolis, Md
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to Aug 11, 2015 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedApr 24, 2014 to Jan 28, 2015 · Melville, Ny
- W•••• F•••• A••••••• wirehouseApr 22, 2010 to Apr 22, 2014 · Severn, Md
- M•• S••••••••• I••• unclassifiedAug 22, 2008 to Mar 19, 2010 · Deale, Md
- P•• W••••• M••••••••• BD affiliatedAug 22, 2007 to Aug 13, 2008 · Washington, Dc
- A••••••••• F•••••••• S•••••••• L•• national BDJun 20, 2006 to Sep 1, 2006 · Annapolis, Md
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 8, 2021, registered Feb 26, 2021 (18 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 13, 2020, registered Sep 24, 2020 (42 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••• F•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 16, 2018, registered Aug 29, 2018 (13 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to A••••••• F•••••••• A•••••••• L••left Apr 13, 2018, registered Apr 18, 2018 (5 days) · Affiliated broker-dealer or bank to another
- C•••••• O•• A•••••••• L•• to C•••••• S••••• • C••• I•••left Aug 11, 2015, registered Sep 1, 2015 (21 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••••• O•• F•••••••• A••••••• L••left Apr 22, 2014, registered Apr 24, 2014 (2 days) · Other
- M•• S••••••••• I••• to W•••• F•••• A•••••••left Mar 19, 2010, registered Apr 22, 2010 (34 days) · Other
- P•• W••••• M••••••••• to M•• S••••••••• I•••left Aug 13, 2008, registered Aug 22, 2008 (9 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•• W••••• M•••••••••left Sep 1, 2006, registered Aug 22, 2007 (355 days) · Other
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
- 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