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••• S••••••••• •••• I•••BD affiliatedNew York, Nydual registrantIAPD 5632723

Feed of 09/14/2026

Also filed as K•••• Bala M•••••••

At current firm

3 y

since Aug 16, 2023

In the industry

17 y

since May 13, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H••• S••••••••• •••• I••• BD affiliated current
since Aug 16, 2023 · New York, Ny
W•••• F•••• A••••••• wirehouse
Jun 10, 2022 to Jul 24, 2023 · New York, Ny
C••••••• S••••••••• I••• BD affiliated
Feb 22, 2022 to Apr 11, 2022 · New York, Ny
H••• S••••••••• •••• I••• BD affiliated
Jan 12, 2015 to Feb 22, 2022 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to H••• S••••••••• •••• I•••
left Jul 24, 2023, registered Aug 16, 2023 (23 days) · Wirehouse to affiliated broker-dealer or bank
C••••••• S••••••••• I••• to W•••• F•••• A•••••••
left Apr 11, 2022, registered Jun 10, 2022 (60 days) · Affiliated broker-dealer or bank to wirehouse
H••• S••••••••• •••• I••• to C••••••• S••••••••• I•••
left Feb 22, 2022, registered Feb 22, 2022 (0 days) · Affiliated broker-dealer or bank to another · moved with a team

Signals

K•••• M••••••• left W•••• F•••• A••••••• for H••• S••••••••• •••• I••• (registered 2023-08-16)
Jul 24, 2023 · Advisor changed firm · fact
K•••• M••••••• left C••••••• S••••••••• I••• for W•••• F•••• A••••••• (registered 2022-06-10)
Apr 11, 2022 · Advisor changed firm · fact
K•••• M••••••• left H••• S••••••••• •••• I••• for C••••••• S••••••••• I••• (registered 2022-02-22)
Feb 22, 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