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•••• M••••••• H•••••

E••••• J••••national BDSt. Louis, Mo dual registrantIAPD 5581459

Feed of 09/14/2026

Also filed as Karen M Pace

At current firm

3 y

since Jul 13, 2023

In the industry

17 y

since Oct 29, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E••••• J•••• national BD current
since Jul 13, 2023 · St. Louis, Mo
J••• M••••• S••••••••• L•• wirehouse
Apr 11, 2023 to Jul 6, 2023 · Cincinnati, Oh
F••••••• P••••••• A•• W•••••••• A••••••• former
Mar 21, 2022 to Sep 17, 2022 · Covington, Ky
F•••• C••••••• I••••••• S•••••••• I••• BD affiliated
May 6, 2014 to May 28, 2014 · Hendersonville, Nc
W•••• F•••• A••••••• wirehouse
Aug 22, 2011 to May 9, 2012 · Hendersonville, Nc
E••••• J•••• national BD
Oct 29, 2008 to Aug 28, 2009 · Flat Rock, Nc

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to E••••• J••••
left Jul 6, 2023, registered Jul 13, 2023 (7 days) · Wirehouse to affiliated broker-dealer or bank
F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••
left Sep 17, 2022, registered Apr 11, 2023 (206 days) · Affiliated broker-dealer or bank to wirehouse
F•••• C••••••• I••••••• S•••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left May 28, 2014, registered Mar 21, 2022 (2854 days) · Other
W•••• F•••• A••••••• to F•••• C••••••• I••••••• S•••••••• I•••
left May 9, 2012, registered May 6, 2014 (727 days) · Other
E••••• J•••• to W•••• F•••• A•••••••
left Aug 28, 2009, registered Aug 22, 2011 (724 days) · Affiliated broker-dealer or bank to wirehouse

Signals

K•••• M••••••• H••••• left J••• M••••• S••••••••• L•• for E••••• J•••• (registered 2023-07-13)
Jul 6, 2023 · Advisor changed firm · fact
K•••• M••••••• H••••• left F••••••• P••••••• A•• W•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2023-04-11)
Sep 17, 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: National broker-dealer RIAderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address