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•••••• C•••••••

G•••••• S•••• W••••• S•••••••• L•••BD affiliatedMiami, Fldual registrantIAPD 6320013

Feed of 09/14/2026

Also filed as K•••• L•••••• C•••••••

At current firm

2 y

since Nov 15, 2023

In the industry

12 y

since Aug 21, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

G•••••• S•••• W••••• S•••••••• L••• BD affiliated current
since Nov 15, 2023 · Miami, Fl
U••••• C•••••• F•••••••• A••••••• independent RIA
Mar 17, 2022 to Nov 17, 2023 · Miami, Fl
M••••• S•••••• wirehouse
Jan 27, 2021 to Sep 23, 2021 · Tampa, Fl
W• F••••• O•••••• independent RIA
Sep 15, 2014 to Aug 19, 2016 · Coral Gables, Fl

Moves

a registration end followed by a registration begin elsewhere

U••••• C•••••• F•••••••• A••••••• to G•••••• S•••• W••••• S•••••••• L•••
left Nov 17, 2023, registered Nov 15, 2023 (-2 days) · RIA to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• to U••••• C•••••• F•••••••• A•••••••
left Sep 23, 2021, registered Mar 17, 2022 (175 days) · Wirehouse to affiliated broker-dealer or bank
W• F••••• O•••••• to M••••• S••••••
left Aug 19, 2016, registered Jan 27, 2021 (1622 days) · Other

Signals

K•••• L•••••• C••••••• left U••••• C•••••• F•••••••• A••••••• for G•••••• S•••• W••••• S•••••••• L••• (registered 2023-11-15)
Nov 17, 2023 · 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