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•••• S•••

P•••••••• S••••••••• I•••BD affiliatedDes Moines, Ia dual registrantIAPD 5545033

Feed of 09/14/2026

Also filed as K•••• S•••

At current firm

0 y

since Mar 4, 2026

In the industry

15 y

since Mar 25, 2011 (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

P•••••••• S••••••••• I••• BD affiliated current
since Mar 4, 2026 · Irvine, Ca
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Feb 20, 2026 · Irvine, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Mar 29, 2022 to Mar 31, 2025 · Boston, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 8, 2020 to Feb 28, 2022 · Leawood, Ks
C•••••• C••••• G••••• I••• no RAUM
Jan 15, 2019 to Nov 18, 2019 · Los Angeles, Ca
P•••••••• S••••••••• I••• BD affiliated
Sep 7, 2011 to Jan 2, 2019 · Costa Mesa, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to P•••••••• S••••••••• I•••
left Feb 20, 2026, registered Mar 4, 2026 (12 days) · Affiliated broker-dealer or bank to another
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Feb 28, 2022, registered Mar 29, 2022 (29 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
C•••••• C••••• G••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 18, 2019, registered May 8, 2020 (172 days) · Other
P•••••••• S••••••••• I••• to C•••••• C••••• G••••• I•••
left Jan 2, 2019, registered Jan 15, 2019 (13 days) · Other

Signals

K•••• S••• left S•••••••• A••••••• L•• for P•••••••• S••••••••• I••• (registered 2026-03-04)
Feb 20, 2026 · Advisor changed firm · fact
K•••• S••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-03-29)
Feb 28, 2022 · 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address