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

D•••• K•••••• A••••

L•• F•••••••• L••BD affiliatedCedar Rapids, Ia dual registrantIAPD 6141138

Certified Financial Planner

Feed of 09/15/2026

At current firm

2 y

since Jun 5, 2024

In the industry

12 y

since Jan 1, 2014 (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

L•• F•••••••• L•• BD affiliated current
since Jun 5, 2024 · Cedar Rapids, Ia
M••••• S•••••• wirehouse
Feb 13, 2023 to Jun 12, 2024 · Davenport, Ia
L•• F•••••••• L•• BD affiliated
Apr 4, 2022 to Feb 17, 2023 · Bettendorf, Ia
B•••••• L••• A••••••• S•••••••• I••• BD affiliated
Feb 1, 2021 to Mar 29, 2022 · Cedar Rapids, Ia

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to L•• F•••••••• L••
left Jun 12, 2024, registered Jun 5, 2024 (-7 days) · Wirehouse to affiliated broker-dealer or bank
L•• F•••••••• L•• to M••••• S••••••
left Feb 17, 2023, registered Feb 13, 2023 (-4 days) · RIA to wirehouse
B•••••• L••• A••••••• S•••••••• I••• to L•• F•••••••• L••
left Mar 29, 2022, registered Apr 4, 2022 (6 days) · Affiliated broker-dealer or bank to independent RIA

Signals

D•••• K•••••• A•••• left M••••• S•••••• for L•• F•••••••• L•• (registered 2024-06-05)
Jun 12, 2024 · Advisor changed firm · fact
D•••• K•••••• A•••• left L•• F•••••••• L•• for M••••• S•••••• (registered 2023-02-13)
Feb 17, 2023 · Advisor changed firm · fact
D•••• K•••••• A•••• left B•••••• L••• A••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2022-04-04)
Mar 29, 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