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

R••• K•••••

L•• F•••••••• L••BD affiliatedNorthbrook, Il dual registrantIAPD 6516568

Certified Financial Planner

Feed of 09/15/2026

Also filed as R••• K•••••

At current firm

5 y

since Nov 16, 2020

In the industry

10 y

since Dec 18, 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

L•• F•••••••• L•• BD affiliated current
since Nov 16, 2020 · Northbrook, Il
T•••• I••••••••• M••••••••• former
Sep 2, 2020 to Nov 5, 2020 · Issaquah, Wa
M•• I•••••••• S•••••••• L•• BD affiliated
Jul 13, 2018 to Aug 25, 2020 · Chicago, Il
E••••• J•••• national BD
Mar 7, 2016 to Jul 15, 2018 · Wilmette, Il
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Dec 21, 2015 to Jan 7, 2016 · Skokie, Il

Moves

a registration end followed by a registration begin elsewhere

T•••• I••••••••• M••••••••• to L•• F•••••••• L••
left Nov 5, 2020, registered Nov 16, 2020 (11 days) · RIA to affiliated broker-dealer or bank
M•• I•••••••• S•••••••• L•• to T•••• I••••••••• M•••••••••
left Aug 25, 2020, registered Sep 2, 2020 (8 days) · Affiliated broker-dealer or bank to independent RIA
E••••• J•••• to M•• I•••••••• S•••••••• L••
left Jul 15, 2018, registered Jul 13, 2018 (-2 days) · Affiliated broker-dealer or bank to another
N••••••••• M••••• I••••••••• S••••••••• to E••••• J••••
left Jan 7, 2016, registered Mar 7, 2016 (60 days) · Other

Signals

No dated event on this person.

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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address