DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
K••• S••••••
Feed of 09/14/2026
Also filed as K••• D S••••••
At current firm
4 y
since Jun 3, 2022
In the industry
12 y
since Aug 1, 2014 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 3, 2022 · The Colony, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 18, 2019 to Jun 9, 2022 · Dallas, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 22, 2017 to Mar 12, 2019 · Allen, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDMar 2, 2016 to Jun 19, 2017 · Allen, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jun 9, 2022, registered Jun 3, 2022 (-6 days) · Wirehouse to wirehouse · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 12, 2019, registered Apr 18, 2019 (37 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 19, 2017, registered Jun 22, 2017 (3 days) · Other · moved with a team
Signals
- K••• S•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2022-06-03)Jun 9, 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address