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

R••• K•••••

L•• E••••••••• L••BD affiliatedWilliamsville, Ny dual registrantIAPD 5526775

Feed of 09/14/2026

Also filed as R••• K•••••

At current firm

1 y

since Nov 14, 2024

In the industry

18 y

since Sep 10, 2008 (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

L•• E••••••••• L•• BD affiliated current
since Nov 14, 2024 · Syracuse, Ny
P•••• S••••••••• L•• no RAUM
Aug 1, 2023 to Nov 14, 2024 · Williamsville, Ny
J••• M••••• S••••••••• L•• wirehouse
Jul 18, 2023 to Aug 1, 2023 · Buffalo, Ny
W•••• F•••• A••••••• wirehouse
Sep 30, 2021 to Jul 25, 2023 · Williamsville, Ny
L•• F•••••••• L•• BD affiliated
Jun 9, 2021 to Nov 3, 2021 · Buffalo, Ny
M•• S••••••••• I••• unclassified
May 4, 2016 to Jun 9, 2021 · Cheektowaga, Ny
L•• F•••••••• L•• BD affiliated
May 15, 2015 to May 9, 2016 · Amherst, Ny

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
J••• M••••• S••••••••• L•• to P•••• S••••••••• L••
left Aug 1, 2023, registered Aug 1, 2023 (0 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to J••• M••••• S••••••••• L••
left Jul 25, 2023, registered Jul 18, 2023 (-7 days) · Wirehouse to wirehouse
L•• F•••••••• L•• to W•••• F•••• A•••••••
left Nov 3, 2021, registered Sep 30, 2021 (-34 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
M•• S••••••••• I••• to L•• F•••••••• L••
left Jun 9, 2021, registered Jun 9, 2021 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to M•• S••••••••• I•••
left May 9, 2016, registered May 4, 2016 (-5 days) · Other

Signals

R••• K••••• left J••• M••••• S••••••••• L•• for P•••• S••••••••• L•• (registered 2023-08-01)
Aug 1, 2023 · Advisor changed firm · fact
R••• K••••• left W•••• F•••• A••••••• for J••• M••••• S••••••••• L•• (registered 2023-07-18)
Jul 25, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address