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•••••• L••••••••

W•••• F•••• A•••••••wirehouseClayton, Modual registrantIAPD 5264397

Certified Financial Planner

Feed of 09/14/2026

Also filed as K•••••• J. L••••••••

At current firm

0 y

since Jul 15, 2026

In the industry

11 y

since Feb 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Jul 15, 2026 · Clayton, Mo
R•••••• J•••• • A••••••••• I••• national BD
Jan 3, 2024 to Jul 7, 2026 · St Louis, Mo
F••••••• P••••••• A•• W•••••••• A••••••• former
Nov 24, 2021 to Dec 13, 2023 · St. Louis, Mo
H•••••••• A•••••••• L•• BD affiliated
Jan 21, 2021 to Nov 12, 2021 · St. Louis, Mo
W•••• F•••• A••••••• wirehouse
Apr 7, 2017 to Dec 15, 2020 · Clayton, Mo

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••
left Jul 7, 2026, registered Jul 15, 2026 (8 days) · Affiliated broker-dealer or bank to wirehouse
F••••••• P••••••• A•• W•••••••• A••••••• to R•••••• J•••• • A••••••••• I•••
left Dec 13, 2023, registered Jan 3, 2024 (21 days) · Affiliated broker-dealer or bank to another
H•••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Nov 12, 2021, registered Nov 24, 2021 (12 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to H•••••••• A•••••••• L••
left Dec 15, 2020, registered Jan 21, 2021 (37 days) · Wirehouse to affiliated broker-dealer or bank

Signals

K•••••• L•••••••• left R•••••• J•••• • A••••••••• I••• for W•••• F•••• A••••••• (registered 2026-07-15)
Jul 7, 2026 · Advisor changed firm · fact
K•••••• L•••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2024-01-03)
Dec 13, 2023 · 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: Wirehousederived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address