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••••••• L••••••

F•••• I••••••••• S•••••••BD affiliatedHouston, Tx IA-onlyIAPD 6098891

Chartered Financial Analyst

Feed of 09/14/2026

Also filed as K••••••• Karim L••••••

At current firm

1 y

since Mar 20, 2025

In the industry

12 y

since Oct 25, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• I••••••••• S••••••• BD affiliated current
since Mar 20, 2025 · Houston, Tx
F••••• I••••••••• independent RIA
Sep 18, 2019 to Jan 10, 2022 · Woodside, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 13, 2019 to Aug 29, 2019 · Seattle, Wa
T• A••••••••• I••• former
Mar 13, 2019 to Aug 29, 2019 · Seattle, Wa
W•••• F•••• A••••••• wirehouse
Jul 27, 2016 to Jul 6, 2018 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to F•••• I••••••••• S•••••••
left Jan 10, 2022, registered Mar 20, 2025 (1165 days) · RIA to affiliated broker-dealer or bank
T• A••••••••• I••••••••• M••••••••• L•• to F••••• I•••••••••
left Aug 29, 2019, registered Sep 18, 2019 (20 days) · RIA to RIA
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Aug 29, 2019, registered Mar 13, 2019 (-169 days) · channel change inside one enterprise, not a move
W•••• F•••• A••••••• to T• A••••••••• I•••
left Jul 6, 2018, registered Mar 13, 2019 (250 days) · Other

Signals

K••••••• L•••••• left F••••• I••••••••• for F•••• I••••••••• S••••••• (registered 2025-03-20)
Jan 10, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address