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.

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Registered advisor

K•••••• L•••

L•• F•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 5602063

Feed of 09/15/2026

Also filed as Ken L•••

At current firm

0 y

since Jul 20, 2026

In the industry

17 y

since Jan 29, 2009 (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

L•• F•••••••• L•• BD affiliated current
since Jul 20, 2026 · San Diego, Ca
W•••• F•••• A••••••• wirehouse
Jun 3, 2024 to Jul 27, 2026 · Rock Hill, Sc
L•• F•••••••• L•• BD affiliated
Jun 24, 2022 to Jun 24, 2024 · North Royalton, Oh
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 11, 2014 to Jun 20, 2022 · Jacksonville, Fl
F•••• T•••• S••••••••• I••• BD affiliated
Oct 8, 2010 to Sep 13, 2012 · Grand Rapids, Mi

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to L•• F•••••••• L••
left Jul 27, 2026, registered Jul 20, 2026 (-7 days) · Wirehouse to affiliated broker-dealer or bank
L•• F•••••••• L•• to W•••• F•••• A•••••••
left Jun 24, 2024, registered Jun 3, 2024 (-21 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
left Jun 20, 2022, registered Jun 24, 2022 (4 days) · Wirehouse to independent RIA
F•••• T•••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 13, 2012, registered Feb 11, 2014 (516 days) · Other

Signals

K•••••• L••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2026-07-20)
Jul 27, 2026 · Advisor changed firm · fact
K•••••• L••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2024-06-03)
Jun 24, 2024 · Advisor changed firm · fact
K•••••• L••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2022-06-24)
Jun 20, 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address