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

C•••••••• A• K••••••

M•••• F•••••••• A•••••••BD affiliatedAlpharetta, Ga IA-onlyIAPD 6343270

Certified Financial Planner

Feed of 09/14/2026

Also filed as C•••••••• Alan K••••••

At current firm

1 y

since Apr 25, 2025

In the industry

11 y

since Aug 1, 2015 (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

M•••• F•••••••• A••••••• BD affiliated current
since Apr 25, 2025 · Sheboygan Falls, Wi
S•••••••• W••••• M••••••••• former
Jul 1, 2024 to Apr 25, 2025 · Orlando, Fl
M•• I•••••••• S•••••••• L•• BD affiliated
Mar 20, 2023 to May 28, 2024 · Orlando, Fl
R••••• W• B•••• • C•• I••••••••• mixed wealth
Apr 20, 2016 to Mar 11, 2022 · Mequon, Wi

Moves

a registration end followed by a registration begin elsewhere

S•••••••• W••••• M••••••••• to M•••• F•••••••• A•••••••
left Apr 25, 2025, registered Apr 25, 2025 (0 days) · RIA to RIA
M•• I•••••••• S•••••••• L•• to S•••••••• W••••• M•••••••••
left May 28, 2024, registered Jul 1, 2024 (34 days) · Affiliated broker-dealer or bank to independent RIA
R••••• W• B•••• • C•• I••••••••• to M•• I•••••••• S•••••••• L••
left Mar 11, 2022, registered Mar 20, 2023 (374 days) · RIA to affiliated broker-dealer or bank

Signals

C•••••••• A• K•••••• left S•••••••• W••••• M••••••••• for M•••• F•••••••• A••••••• (registered 2025-04-25)
Apr 25, 2025 · Advisor changed firm · fact
C•••••••• A• K•••••• left M•• I•••••••• S•••••••• L•• for S•••••••• W••••• M••••••••• (registered 2024-07-01)
May 28, 2024 · Advisor changed firm · fact
C•••••••• A• K•••••• left R••••• W• B•••• • C•• I••••••••• for M•• I•••••••• S•••••••• L•• (registered 2023-03-20)
Mar 11, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address