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••••

C••••• I••••••••• A••••••• L••BD affiliatedScottsdale, Az dual registrantIAPD 5564448

Feed of 09/15/2026

Also filed as K••••••• Lupercio

At current firm

1 y

since Jan 6, 2025

In the industry

11 y

since Oct 17, 2014 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jan 6, 2025 · Maricopa, Az
L•••••• I••••••••• independent RIA
Nov 5, 2021 to Jan 3, 2025 · Phoenix, Az
C•••••• A••••••• BD affiliated
Nov 5, 2021 to Jan 3, 2025 · Maricopa, Az
W•••• F•••• A••••••• wirehouse
Jan 26, 2021 to Mar 10, 2021 · Scottsdale, Az
C••• B•••••••• S•••••••• I••• former
Sep 2, 2020 to Jan 19, 2021 · Phoenix, Az
P•• M•••••• A•••••• S••••••••• I••• former
May 1, 2019 to Jul 31, 2020 · Phoenix, Az
L•••••• I••••••••• independent RIA
Apr 5, 2019 to Apr 22, 2019 · Phoenix, Az
L••••• A•••••••• L•• former
Apr 26, 2018 to Apr 22, 2019 · Phoenix, Az
L••••• A•••••••• L•• former
Nov 25, 2016 to Oct 20, 2017 · Phoenix, Az
O•••• F•• I••• former
Jul 30, 2015 to Dec 17, 2015 · Tempe, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 17, 2015 to Jul 28, 2015 · Chandler, Az
E••••• J•••• national BD
Nov 3, 2014 to Dec 10, 2014 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

C•••••• A••••••• to L•••••• I•••••••••
left Jan 3, 2025, registered Nov 5, 2021 (-1155 days) · Affiliated broker-dealer or bank to another
L•••••• I••••••••• to C••••• I••••••••• A••••••• L••
left Jan 3, 2025, registered Jan 6, 2025 (3 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to C•••••• A•••••••
left Mar 10, 2021, registered Nov 5, 2021 (240 days) · Wirehouse to affiliated broker-dealer or bank
C••• B•••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Jan 19, 2021, registered Jan 26, 2021 (7 days) · Affiliated broker-dealer or bank to wirehouse
P•• M•••••• A•••••• S••••••••• I••• to C••• B•••••••• S•••••••• I•••
left Jul 31, 2020, registered Sep 2, 2020 (33 days) · Affiliated broker-dealer or bank to another
L•••••• I••••••••• to P•• M•••••• A•••••• S••••••••• I•••
left Apr 22, 2019, registered May 1, 2019 (9 days) · Affiliated broker-dealer or bank to another
L••••• A•••••••• L•• to L•••••• I•••••••••
left Apr 22, 2019, registered Apr 5, 2019 (-17 days) · Affiliated broker-dealer or bank to another
O•••• F•• I••• to L••••• A•••••••• L••
left Dec 17, 2015, registered Nov 25, 2016 (344 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••• F•• I•••
left Jul 28, 2015, registered Jul 30, 2015 (2 days) · Other
E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 10, 2014, registered Mar 17, 2015 (97 days) · Affiliated broker-dealer or bank to wirehouse

Signals

K••••••• F•••••• M•••• left C•••••• A••••••• for C••••• I••••••••• A••••••• L•• (registered 2025-01-06)
Jan 3, 2025 · Advisor changed firm · fact
K••••••• F•••••• M•••• left L•••••• I••••••••• for C•••••• A••••••• (registered 2021-11-05)
Jan 3, 2025 · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address