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

A•••••••• K••••• F•••••

4• N•••• C••••••• L••independent RIABurlington, Vt IA-onlyIAPD 6268230

Certified Financial Planner

Feed of 09/14/2026

Also filed as A•••••••• J K•••••

At current firm

1 y

since Jan 1, 2025

In the industry

13 y

since Nov 1, 2012 (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

4• N•••• C••••••• L•• independent RIA current
since Jan 1, 2025 · Palm Beach Gardens, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 7, 2020 to Sep 12, 2023 · New York, Ny
K••••• A••••••• S•••••••• L•• BD affiliated
May 20, 2016 to Nov 28, 2018 · South Burlington,, Vt
N•• A•••••• S•••••••• L•• former
May 20, 2016 to Sep 22, 2016 · South Burlington, Vt

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to 4• N•••• C••••••• L••
left Sep 12, 2023, registered Jan 1, 2025 (477 days) · Wirehouse to independent RIA · moved with a team
K••••• A••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 28, 2018, registered Apr 7, 2020 (496 days) · Affiliated broker-dealer or bank to wirehouse
N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
left Sep 22, 2016, registered May 20, 2016 (-125 days) · corporate re-registration, not a move

Signals

A•••••••• K••••• F••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for 4• N•••• C••••••• L•• (registered 2025-01-01)
Sep 12, 2023 · a•••••• firm change · 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: Independent wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address