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.

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Registered advisor

K••• C•••••

F••••• I•••••••••independent RIADuxbury, Ma IA-onlyIAPD 6652491

Feed of 09/14/2026

Also filed as K••• C•••••

At current firm

1 y

since May 15, 2025

In the industry

10 y

since Jun 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F••••• I••••••••• independent RIA current
since May 15, 2025 · Plano, Tx
E•••••• A••••••• G••••• L•• BD affiliated
Apr 3, 2023 to May 7, 2025 · Greenwood Village, Co
P••••••• C•••••• A••••••• C••••••••• former
Oct 20, 2021 to Apr 3, 2023 · Duxbury, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 8, 2019 to Oct 12, 2021 · Boston, Ma
J••• H•••••• P••••••• F•••••••• S•••••••• L•• BD affiliated
Aug 30, 2017 to Feb 22, 2019 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

E•••••• A••••••• G••••• L•• to F••••• I•••••••••
left May 7, 2025, registered May 15, 2025 (8 days) · Affiliated broker-dealer or bank to independent RIA
P••••••• C•••••• A••••••• C••••••••• to E•••••• A••••••• G••••• L••
left Apr 3, 2023, registered Apr 3, 2023 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••• C•••••• A••••••• C•••••••••
left Oct 12, 2021, registered Oct 20, 2021 (8 days) · Wirehouse to independent RIA
J••• H•••••• P••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 22, 2019, registered Jan 8, 2019 (-45 days) · RIA to wirehouse

Signals

K••• C••••• left E•••••• A••••••• G••••• L•• for F••••• I••••••••• (registered 2025-05-15)
May 7, 2025 · 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address