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•••• M• S••••

J••• M••••• S••••••••• L••wirehouseNew York, Ny dual registrantIAPD 5372015

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as K•••• M S••••

At current firm

0 y

since Jul 8, 2026

In the industry

16 y

since Nov 6, 2009 (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

J••• M••••• S••••••••• L•• wirehouse current
since Jul 8, 2026 · New York, Ny
W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated
Jan 6, 2026 to Jun 23, 2026 · Plymouth, Mn
U••• F•••••••• P••••••• S••••••• former
Mar 26, 2014 to Apr 22, 2015 · Mclean, Va
B•••••••• I••••••••• M••••••••• L•• asset manager
Apr 14, 2011 to Dec 13, 2013 · Princeton, Nj
E••••• J•••• national BD
Nov 10, 2009 to Apr 8, 2011 · Arnold, Md

Moves

a registration end followed by a registration begin elsewhere

W••••• E••••••••• A••••••• S•••••••• L•• to J••• M••••• S••••••••• L••
left Jun 23, 2026, registered Jul 8, 2026 (15 days) · Affiliated broker-dealer or bank to wirehouse
U••• F•••••••• P••••••• S••••••• to W••••• E••••••••• A••••••• S•••••••• L••
left Apr 22, 2015, registered Jan 6, 2026 (3912 days) · Other
B•••••••• I••••••••• M••••••••• L•• to U••• F•••••••• P••••••• S•••••••
left Dec 13, 2013, registered Mar 26, 2014 (103 days) · Other
E••••• J•••• to B•••••••• I••••••••• M••••••••• L••
left Apr 8, 2011, registered Apr 14, 2011 (6 days) · Other

Signals

K•••• M• S•••• left W••••• E••••••••• A••••••• S•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2026-07-08)
Jun 23, 2026 · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address