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

S••• K••••••

O•••• W•••••• I•••BD affiliatedUniondale, Nydual registrantIAPD 5845157

Feed of 09/14/2026

Also filed as S••• Brandon K••••••

At current firm

1 y

since Apr 11, 2025

In the industry

13 y

since Apr 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Apr 11, 2025 · Uniondale, Ny
B•• M••••• S••••••••• C••••••••• other
Sep 26, 2022 to Apr 4, 2025 · Uniondale, Ny
O•••• I••••••••• I••• BD affiliated
May 2, 2019 to Sep 6, 2022 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

B•• M••••• S••••••••• C••••••••• to O•••• W•••••• I•••
left Apr 4, 2025, registered Apr 11, 2025 (7 days) · Other
O•••• I••••••••• I••• to B•• M••••• S••••••••• C•••••••••
left Sep 6, 2022, registered Sep 26, 2022 (20 days) · Affiliated broker-dealer or bank to another

Signals

S••• K•••••• left B•• M••••• S••••••••• C••••••••• for O•••• W•••••• I••• (registered 2025-04-11)
Apr 4, 2025 · Advisor changed firm · fact
S••• K•••••• left O•••• I••••••••• I••• for B•• M••••• S••••••••• C••••••••• (registered 2022-09-26)
Sep 6, 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address