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

B•••••• K••••• M•••••

T••••••••• F•••••••• A•••••••• L••BD affiliatedCanton, Madual registrantIAPD 5747483

Personal Financial Specialist

Feed of 09/14/2026

Also filed as Ben K K•••••-M•••••

At current firm

1 y

since Sep 2, 2025

In the industry

27 y

since Jan 1, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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

T••••••••• F•••••••• A•••••••• L•• BD affiliated current
since Sep 2, 2025 · Canton, Ma
C••••••• S••••••••• I••• BD affiliated
Sep 6, 2023 to Feb 12, 2024 · Johnston, Ri
P•••• S••••••••• L•• no RAUM
Jan 20, 2023 to Aug 29, 2023 · Marlborough, Ma
A•••••• A••••••• S••••••• former
Mar 31, 2022 to Jan 24, 2023 · Worcester, Ma
A••••• I••••••••• C••••••••• independent RIA
Oct 31, 2017 to Dec 10, 2018 · Worcester, Ma

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to T••••••••• F•••••••• A•••••••• L••
left Feb 12, 2024, registered Sep 2, 2025 (568 days) · Affiliated broker-dealer or bank to another
P•••• S••••••••• L•• to C••••••• S••••••••• I•••
left Aug 29, 2023, registered Sep 6, 2023 (8 days) · Affiliated broker-dealer or bank to another
A•••••• A••••••• S••••••• to P•••• S••••••••• L••
left Jan 24, 2023, registered Jan 20, 2023 (-4 days) · Affiliated broker-dealer or bank to another
A••••• I••••••••• C••••••••• to A•••••• A••••••• S•••••••
left Dec 10, 2018, registered Mar 31, 2022 (1207 days) · RIA to affiliated broker-dealer or bank

Signals

B•••••• K••••• M••••• left C••••••• S••••••••• I••• for T••••••••• F•••••••• A•••••••• L•• (registered 2025-09-02)
Feb 12, 2024 · Advisor changed firm · fact
B•••••• K••••• M••••• left P•••• S••••••••• L•• for C••••••• S••••••••• I••• (registered 2023-09-06)
Aug 29, 2023 · Advisor changed firm · fact
B•••••• K••••• M••••• left A•••••• A••••••• S••••••• for P•••• S••••••••• L•• (registered 2023-01-20)
Jan 24, 2023 · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address