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

L••• R•••• K••••

U••• B•••••• A•••••••• L••BD affiliatedSt Louis, Modual registrantIAPD 5847186

Feed of 09/14/2026

Also filed as L••• R•••• Cox

At current firm

0 y

since Feb 13, 2026

In the industry

16 y

since Sep 1, 2010 (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

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · St Louis, Mo
U••• B•••••• I••••••••• I••• former
Jul 20, 2022 to Feb 13, 2026 · St Louis, Mo
S•••••• N••••••• • C••••••• I••••••••• national BD
Oct 4, 2019 to Dec 17, 2021 · St. Louis, Mo
C••••••••• W••••• M••••••••• L•• independent RIA
Nov 8, 2017 to Aug 19, 2019 · Belleville, Il
E••••• J•••• national BD
Nov 15, 2010 to Nov 9, 2017 · Swansea, Il

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
S•••••• N••••••• • C••••••• I••••••••• to U••• B•••••• I••••••••• I•••
left Dec 17, 2021, registered Jul 20, 2022 (215 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••••••• W••••• M••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••
left Aug 19, 2019, registered Oct 4, 2019 (46 days) · RIA to affiliated broker-dealer or bank
E••••• J•••• to C••••••••• W••••• M••••••••• L••
left Nov 9, 2017, registered Nov 8, 2017 (-1 days) · Other

Signals

No dated event on this person.

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