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•••• P• S••••••

B•••••••• I••••••••• M••••••••• L••asset managerPrinceton, Nj dual registrantIAPD 5961885

Feed of 09/15/2026

At current firm

2 y

since Jun 6, 2024

In the industry

15 y

since Aug 13, 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

B•••••••• I••••••••• M••••••••• L•• asset manager current
since Jun 6, 2024 · Princeton, Nj
H••••••• F•••• asset manager
Apr 6, 2018 to Apr 26, 2024 · Wayne, Pa
N•• Y••• L••• I••••••••• M••••••••• L•• asset manager
Aug 13, 2015 to Mar 14, 2018 · New Y•••, Ny
P•• W••••• M••••••••• BD affiliated
Nov 3, 2014 to Jul 27, 2015 · Philadelphia, Pa
V••• F•••••••• A•••••••• I••• BD affiliated
Nov 8, 2011 to Nov 9, 2012 · Philadelphia, Pa

Moves

a registration end followed by a registration begin elsewhere

H••••••• F•••• to B•••••••• I••••••••• M••••••••• L••
left Apr 26, 2024, registered Jun 6, 2024 (41 days) · Other
N•• Y••• L••• I••••••••• M••••••••• L•• to H••••••• F••••
left Mar 14, 2018, registered Apr 6, 2018 (23 days) · Other
P•• W••••• M••••••••• to N•• Y••• L••• I••••••••• M••••••••• L••
left Jul 27, 2015, registered Aug 13, 2015 (17 days) · Other
V••• F•••••••• A•••••••• I••• to P•• W••••• M•••••••••
left Nov 9, 2012, registered Nov 3, 2014 (724 days) · Other

Signals

K•••• P• S•••••• left H••••••• F•••• for B•••••••• I••••••••• M••••••••• L•• (registered 2024-06-06)
Apr 26, 2024 · 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address