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•••• K••••••••

A••••••••• F•••••••• S•••••••• L••national BDWaldorf, Md dual registrantIAPD 5418032

Certified Financial Planner

Feed of 09/14/2026

Also filed as K•••• L K••••••••

At current firm

2 y

since Jul 25, 2024

In the industry

18 y

since Mar 6, 2008 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Jul 25, 2024 · Waldorf, Md
B••••• W•••••• L•• independent RIA
Nov 16, 2023 to Jul 22, 2024 · Mclean, Va
M••••• S•••••• wirehouse
Jan 14, 2022 to Nov 9, 2023 · Easton, Md
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 8, 2020 to Dec 22, 2021 · Woodbridge, Va
M••••• S•••••• wirehouse
Dec 20, 2016 to Oct 2, 2020 · Alexandria, Va
H• B•••• I••• former
Oct 19, 2016 to Dec 8, 2016 · Mclean, Va
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 19, 2016 to Oct 28, 2016 · Washington, Dc
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 10, 2012 to Oct 6, 2015 · Wichita, Ks
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 15, 2010 to Sep 15, 2010 · Henderson, Nv
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Apr 17, 2009 to Oct 6, 2009 · Las Vegas, Nv
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 10, 2008 to Sep 4, 2008 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

B••••• W•••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Jul 22, 2024, registered Jul 25, 2024 (3 days) · RIA to affiliated broker-dealer or bank
M••••• S•••••• to B••••• W•••••• L••
left Nov 9, 2023, registered Nov 16, 2023 (7 days) · Wirehouse to independent RIA
A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••
left Dec 22, 2021, registered Jan 14, 2022 (23 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••
left Oct 2, 2020, registered Oct 8, 2020 (6 days) · Wirehouse to affiliated broker-dealer or bank
H• B•••• I••• to M••••• S••••••
left Dec 8, 2016, registered Dec 20, 2016 (12 days) · Other
A••••••••• F•••••••• S•••••••• L•• to H• B•••• I•••
left Oct 28, 2016, registered Oct 19, 2016 (-9 days) · Other
N••••••••• M••••• I••••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••
left Oct 6, 2009, registered Apr 15, 2010 (191 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••
left Sep 4, 2008, registered Apr 17, 2009 (225 days) · Other

Signals

K•••• K•••••••• left B••••• W•••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-07-25)
Jul 22, 2024 · Advisor changed firm · fact
K•••• K•••••••• left M••••• S•••••• for B••••• W•••••• L•• (registered 2023-11-16)
Nov 9, 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: National broker-dealer RIAderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address