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•••••• M••••••••

H••••••••• F•••••••• A•••••••BD affiliatedLakewood, Codual registrantIAPD 6205871

Feed of 09/14/2026

Also filed as K•••••• M••••••••

At current firm

1 y

since Apr 30, 2025

In the industry

11 y

since Dec 1, 2014 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Jun 29, 2026 · Lakewood, Co
H••••••••• F•••••••• A••••••• BD affiliated current
since Apr 30, 2025 · Lakewood, Co
J••• M••••• S••••••••• L•• wirehouse
Aug 9, 2024 to May 6, 2025 · Denver, Co
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 12, 2019 to Jun 18, 2024 · Greenwood Village, Co
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 16, 2018 to Oct 23, 2018 · Denver, Co
T• A••••••••• I••• former
Mar 15, 2018 to Oct 23, 2018 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Jun 7, 2017 to Mar 24, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to H••••••••• F•••••••• A•••••••
left May 6, 2025, registered Apr 30, 2025 (-6 days) · Wirehouse to affiliated broker-dealer or bank
F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••
left Jun 18, 2024, registered Aug 9, 2024 (52 days) · Affiliated broker-dealer or bank to wirehouse
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 23, 2018, registered Mar 16, 2018 (-221 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Oct 23, 2018, registered Jul 12, 2019 (262 days) · RIA to affiliated broker-dealer or bank
S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••
left Mar 24, 2018, registered Mar 15, 2018 (-9 days) · channel change inside one enterprise, not a move · moved with a team

Signals

K•••••• M•••••••• left J••• M••••• S••••••••• L•• for H••••••••• F•••••••• A••••••• (registered 2025-04-30)
May 6, 2025 · Advisor changed firm · fact
K•••••• M•••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2024-08-09)
Jun 18, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address