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•••• F• M••••••

A••••••••• F•••••••• S•••••••• L••national BDLancaster, Pa dual registrantIAPD 5372345

Feed of 09/14/2026

At current firm

1 y

since Oct 15, 2024

In the industry

19 y

since Aug 31, 2007 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Oct 15, 2024 · Lancaster, Pa
V••• F•••••••• A•••••••• I••• BD affiliated
Sep 23, 2014 to Oct 15, 2024 · Fairfax, Va
V•••• F•••••••• A•••••••• I••• BD affiliated
Nov 8, 2013 to May 14, 2014 · Seven Fields, Pa
S•••••••• S••••••••• BD affiliated
Jul 18, 2013 to Nov 8, 2013 · Chelsea, Ma
C••• F•••••••• S•••••••• L••• former
May 9, 2013 to Jul 8, 2013 · Medford, Ma
H••• S••••••••• •••• I••• BD affiliated
Apr 1, 2013 to Apr 15, 2013 · Bethesda, Md
V•••• F•••••••• A•••••••• I••• BD affiliated
Jan 21, 2010 to Nov 15, 2012 · Burlington, Ma

Moves

a registration end followed by a registration begin elsewhere

V••• F•••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Oct 15, 2024, registered Oct 15, 2024 (0 days) · Affiliated broker-dealer or bank to another
V•••• F•••••••• A•••••••• I••• to V••• F•••••••• A•••••••• I•••
left May 14, 2014, registered Sep 23, 2014 (132 days) · Other
S•••••••• S••••••••• to V•••• F•••••••• A•••••••• I•••
left Nov 8, 2013, registered Nov 8, 2013 (0 days) · Other
C••• F•••••••• S•••••••• L••• to S•••••••• S•••••••••
left Jul 8, 2013, registered Jul 18, 2013 (10 days) · Other
H••• S••••••••• •••• I••• to C••• F•••••••• S•••••••• L•••
left Apr 15, 2013, registered May 9, 2013 (24 days) · Other
V•••• F•••••••• A•••••••• I••• to H••• S••••••••• •••• I•••
left Nov 15, 2012, registered Apr 1, 2013 (137 days) · Other

Signals

K•••• F• M•••••• left V••• F•••••••• A•••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-10-15)
Oct 15, 2024 · 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: National broker-dealer RIAderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address