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••••••• S•••••••

L••••• F•••••••• G••••• L••BD affiliatedSaint Louis, Mo dual registrantIAPD 6405441

Feed of 09/14/2026

Also filed as Kathleen Marie Sigg

At current firm

2 y

since Jun 24, 2024

In the industry

11 y

since Oct 1, 2014 (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

L••••• F•••••••• G••••• L•• BD affiliated current
since Jun 24, 2024 · Greenwood Village, Co
F•••••••• G••••• I••••••••• M••••••••• C•••• asset manager
Aug 9, 2021 to Dec 1, 2023 · New York, Ny
F•••••••• G••••• I••••••••• M••••••••• C•••• asset manager
Feb 1, 2016 to Dec 31, 2018 · New York, Ny
F•••••••• G••••• I••••••••• M••••••••• C•••• asset manager
Jan 30, 2015 to Dec 31, 2015 · New York, Ny
M•• A•••••••• A• D••••••• O• F•••••••• M••• L•• asset manager
Jan 12, 2015 to Dec 1, 2023 · Denver, Co
F•••••••• I••••••••• C••••••••• institutional
Jan 5, 2015 to Dec 1, 2023 · Denver, Co
F•••••••• S••••••••• C•••• no RAUM
Jan 5, 2015 to Dec 1, 2023 · Pittsburgh, Pa

Moves

a registration end followed by a registration begin elsewhere

M•• A•••••••• A• D••••••• O• F•••••••• M••• L•• to F•••••••• G••••• I••••••••• M••••••••• C••••
left Dec 1, 2023, registered Jan 30, 2015 (-3227 days) · channel change inside one enterprise, not a move
F•••••••• S••••••••• C•••• to F•••••••• I••••••••• C•••••••••
left Dec 1, 2023, registered Jan 5, 2015 (-3252 days) · channel change inside one enterprise, not a move
F•••••••• I••••••••• C••••••••• to M•• A•••••••• A• D••••••• O• F•••••••• M••• L••
left Dec 1, 2023, registered Jan 12, 2015 (-3245 days) · channel change inside one enterprise, not a move
F•••••••• G••••• I••••••••• M••••••••• C•••• to L••••• F•••••••• G••••• L••
left Dec 1, 2023, registered Jun 24, 2024 (206 days) · Other

Signals

K••••••• S••••••• left F•••••••• G••••• I••••••••• M••••••••• C•••• for L••••• F•••••••• G••••• L•• (registered 2024-06-24)
Dec 1, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address