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

S••••• K••••••••

V••• F•••••••• A•••••••• I•••BD affiliatedArlington, Ma dual registrantIAPD 6058676

Feed of 09/14/2026

Also filed as S••••• K••••••••

At current firm

1 y

since Jul 3, 2025

In the industry

14 y

since Apr 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

V••• F•••••••• A•••••••• I••• BD affiliated current
since Jul 3, 2025 · Arlington, Ma
C••••••• S••••••••• I••• BD affiliated
Oct 25, 2023 to Jun 28, 2024 · Westwood, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 2, 2020 to Oct 19, 2023 · New York, Ny
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Oct 14, 2019 · Boston, Ma
S•••••••• A••••••• L•• national BD
Jul 15, 2013 to Jul 13, 2018 · Merrimack, Nh

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••
left Jun 28, 2024, registered Jul 3, 2025 (370 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••
left Oct 19, 2023, registered Oct 25, 2023 (6 days) · Wirehouse to affiliated broker-dealer or bank
F••••••• P••••••• A•• W•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 14, 2019, registered Sep 2, 2020 (324 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
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

S••••• K•••••••• no longer holds an investment adviser registration (last listed at V••• F•••••••• A•••••••• I••• on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
S••••• K•••••••• left C••••••• S••••••••• I••• for V••• F•••••••• A•••••••• I••• (registered 2025-07-03)
Jun 28, 2024 · Advisor changed firm · fact
S••••• K•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C••••••• S••••••••• I••• (registered 2023-10-25)
Oct 19, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address