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•••••••• M•••• S•••••

W•••• F•••• A•••••••wirehouseHighland Park, Ildual registrantIAPD 5627306

Feed of 09/14/2026

Also filed as K•••••••• M Barker

At current firm

0 y

since Apr 28, 2026

In the industry

14 y

since Dec 3, 2011 (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

W•••• F•••• A••••••• wirehouse current
since Apr 28, 2026 · Highland Park, Il
U•• F•••••••• S••••••• I••• wirehouse
Nov 15, 2024 to May 11, 2026 · Northbrook, Il
R•••••• J•••• • A••••••••• I••• national BD
Oct 9, 2020 to Nov 7, 2024 · Winnetka, Il

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
left May 11, 2026, registered Apr 28, 2026 (-13 days) · Wirehouse to wirehouse
R•••••• J•••• • A••••••••• I••• to U•• F•••••••• S••••••• I•••
left Nov 7, 2024, registered Nov 15, 2024 (8 days) · Affiliated broker-dealer or bank to wirehouse

Signals

K•••••••• M•••• S••••• left U•• F•••••••• S••••••• I••• for W•••• F•••• A••••••• (registered 2026-04-28)
May 11, 2026 · Advisor changed firm · fact
K•••••••• M•••• S••••• left R•••••• J•••• • A••••••••• I••• for U•• F•••••••• S••••••• I••• (registered 2024-11-15)
Nov 7, 2024 · 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: Wirehousederived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address