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•••••• M•••• K•••••

A••••••••• F•••••••• S•••••••• L••national BDPlymouth, Mi dual registrantIAPD 6259764

Feed of 09/14/2026

Also filed as S•••••• K•••••

At current firm

1 y

since Feb 5, 2025

In the industry

12 y

since Apr 10, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

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 Feb 5, 2025 · Plymouth, Mi
S••••• A•••• M••••••••• L••••• independent RIA
Feb 6, 2024 to Dec 31, 2024 · Troy, Mi
C••••• I••••••••• A••••••• L•• BD affiliated
Aug 10, 2023 to Feb 5, 2024 · Southfield, Mi
S••••••• F•••••••• S•••••••• I••• former
Sep 26, 2019 to Aug 10, 2023 · Southfield, Mi
F•••••••• A••••••• S•••••••• L•• former
Dec 13, 2018 to Jun 20, 2019 · Farmington Hills, Mi

Moves

a registration end followed by a registration begin elsewhere

S••••• A•••• M••••••••• L••••• to A••••••••• F•••••••• S•••••••• L••
left Dec 31, 2024, registered Feb 5, 2025 (36 days) · RIA to affiliated broker-dealer or bank
C••••• I••••••••• A••••••• L•• to S••••• A•••• M••••••••• L•••••
left Feb 5, 2024, registered Feb 6, 2024 (1 days) · Affiliated broker-dealer or bank to independent RIA
S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
F•••••••• A••••••• S•••••••• L•• to S••••••• F•••••••• S•••••••• I•••
left Jun 20, 2019, registered Sep 26, 2019 (98 days) · Affiliated broker-dealer or bank to another

Signals

S•••••• M•••• K••••• left S••••• A•••• M••••••••• L••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-02-05)
Dec 31, 2024 · Advisor changed firm · fact
S•••••• M•••• K••••• left C••••• I••••••••• A••••••• L•• for S••••• A•••• M••••••••• L••••• (registered 2024-02-06)
Feb 5, 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: National broker-dealer RIAderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address