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

K•••••• M•••• L••••

S••••• M•••••••••independent RIAScottsdale, Az IA-onlyIAPD 5931346

Certified Financial Planner

Feed of 09/15/2026

Also filed as K•••••• M•••• Morris

At current firm

3 y

since Jul 14, 2023

In the industry

15 y

since Jul 14, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••• M••••••••• independent RIA current
since Jul 14, 2023 · Scottsdale, Az
C••• L•• BD affiliated
May 18, 2023 to Jul 6, 2023 · Omaha, Ne
S••••••••• A•••• M••••••••• L•• former
Oct 17, 2018 to Jun 30, 2023 · Scottsdale, Az
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Sep 25, 2018 · Boston, Ma
S•••••••• A••••••• L•• national BD
Oct 20, 2015 to Jul 13, 2018 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

C••• L•• to S••••• M•••••••••
left Jul 6, 2023, registered Jul 14, 2023 (8 days) · Affiliated broker-dealer or bank to independent RIA
S••••••••• A•••• M••••••••• L•• to C••• L••
left Jun 30, 2023, registered May 18, 2023 (-43 days) · RIA to affiliated broker-dealer or bank
F••••••• P••••••• A•• W•••••••• A••••••• to S••••••••• A•••• M••••••••• L••
left Sep 25, 2018, registered Oct 17, 2018 (22 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

K•••••• M•••• L•••• left C••• L•• for S••••• M••••••••• (registered 2023-07-14)
Jul 6, 2023 · Advisor changed firm · fact
K•••••• M•••• L•••• left S••••••••• A•••• M••••••••• L•• for C••• L•• (registered 2023-05-18)
Jun 30, 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: Independent wealth managerderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address