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••••••• S•••••

M•• I•••••••• S•••••••• L••BD affiliatedExton, Pa dual registrantIAPD 6088635

Feed of 09/15/2026

Also filed as Kimberly Ann Speese

At current firm

1 y

since Feb 12, 2025

In the industry

10 y

since Feb 23, 2016 (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

M•• I•••••••• S•••••••• L•• BD affiliated current
since Feb 12, 2025 · Exton, Pa
W•••••• B•••• • C•••••• L••••• BD affiliated
Jul 1, 2024 to Jan 8, 2025 · Denver, Co
W•••••• B•••• • C•••••• L••••• BD affiliated
Apr 8, 2022 to Feb 23, 2024 · Chicago, Il
R•••• I••••••••• A••••••• other
Jul 7, 2020 to Feb 18, 2022 · Washington, Dc
F••••••• P••••••• A•• W•••••••• A••••••• former
Sep 25, 2019 to May 8, 2020 · Philadelphia, Pa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 7, 2017 to Sep 9, 2019 · Philadelphia, Pa
M••••• S•••••• wirehouse
Jun 7, 2016 to Dec 15, 2016 · Mclean, Va
S•• F•••••••• I•• former
Mar 19, 2016 to Dec 22, 2017 · Rockville, Md

Moves

a registration end followed by a registration begin elsewhere

W•••••• B•••• • C•••••• L••••• to M•• I•••••••• S•••••••• L••
left Jan 8, 2025, registered Feb 12, 2025 (35 days) · Affiliated broker-dealer or bank to another
R•••• I••••••••• A••••••• to W•••••• B•••• • C•••••• L•••••
left Feb 18, 2022, registered Apr 8, 2022 (49 days) · Other
F••••••• P••••••• A•• W•••••••• A••••••• to R•••• I••••••••• A•••••••
left May 8, 2020, registered Jul 7, 2020 (60 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Sep 9, 2019, registered Sep 25, 2019 (16 days) · Wirehouse to affiliated broker-dealer or bank
S•• F•••••••• I•• to M••••• S••••••
left Dec 22, 2017, registered Jun 7, 2016 (-563 days) · RIA to wirehouse
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 15, 2016, registered Aug 7, 2017 (235 days) · Wirehouse to wirehouse

Signals

K••••••• S••••• left W•••••• B•••• • C•••••• L••••• for M•• I•••••••• S•••••••• L•• (registered 2025-02-12)
Jan 8, 2025 · Advisor changed firm · fact
K••••••• S••••• left R•••• I••••••••• A••••••• for W•••••• B•••• • C•••••• L••••• (registered 2022-04-08)
Feb 18, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address