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•••• R• E•••••

M•• I•••••••• S•••••••• L••BD affiliatedNorth Augusta, Scdual registrantIAPD 5721048

Feed of 09/14/2026

Also filed as K•••• R• E•••••

At current firm

1 y

since Jul 25, 2025

In the industry

16 y

since Dec 14, 2009 (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

M•• I•••••••• S•••••••• L•• BD affiliated current
since Jul 25, 2025 · North Augusta, Sc
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 30, 2021 to Aug 11, 2025 · North Augusta, Sc
C••• B•••••••• S•••••••• I••• former
Jan 22, 2014 to Dec 1, 2021 · Waverly, Ia
M••••• S•••••• wirehouse
Oct 3, 2012 to Jan 3, 2014 · Augusta, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 11, 2010 to Sep 27, 2012 · Augusta, Ga

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••
left Aug 11, 2025, registered Jul 25, 2025 (-17 days) · Affiliated broker-dealer or bank to another
C••• B•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Dec 1, 2021, registered Nov 30, 2021 (-1 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to C••• B•••••••• S•••••••• I•••
left Jan 3, 2014, registered Jan 22, 2014 (19 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Sep 27, 2012, registered Oct 3, 2012 (6 days) · Wirehouse to wirehouse

Signals

K•••• R• E••••• left A••••••••• F•••••••• S•••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2025-07-25)
Aug 11, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address