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•••• L••••

J••• M••••• S••••••••• L••wirehousePhoenix, Az dual registrantIAPD 6674415

Feed of 09/15/2026

Also filed as K•••• Arthur L••••

At current firm

3 y

since Sep 18, 2023

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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since Sep 18, 2023 · Phoenix, Az
E•••••• C•••••• M••••••••• L•• former
Apr 26, 2022 to Aug 11, 2023 · Arlington, Va
J••• H•••••• I••••••••• M••••••••• L•• asset manager
Nov 8, 2018 to Mar 24, 2022 · Boston, Ma
M••••••• I••••••••• M••••••••• ••• L•• asset manager
Mar 8, 2018 to Nov 8, 2018 · Tempe, Az
E••••• J•••• national BD
Oct 28, 2016 to Feb 7, 2018 · Peoria, Az

Moves

a registration end followed by a registration begin elsewhere

E•••••• C•••••• M••••••••• L•• to J••• M••••• S••••••••• L••
left Aug 11, 2023, registered Sep 18, 2023 (38 days) · RIA to wirehouse
J••• H•••••• I••••••••• M••••••••• L•• to E•••••• C•••••• M••••••••• L••
left Mar 24, 2022, registered Apr 26, 2022 (33 days) · Other
M••••••• I••••••••• M••••••••• ••• L•• to J••• H•••••• I••••••••• M••••••••• L••
left Nov 8, 2018, registered Nov 8, 2018 (0 days) · corporate re-registration, not a move
E••••• J•••• to M••••••• I••••••••• M••••••••• ••• L••
left Feb 7, 2018, registered Mar 8, 2018 (29 days) · Other

Signals

K•••• L•••• left E•••••• C•••••• M••••••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-09-18)
Aug 11, 2023 · Advisor changed firm · fact
K•••• L•••• left J••• H•••••• I••••••••• M••••••••• L•• for E•••••• C•••••• M••••••••• L•• (registered 2022-04-26)
Mar 24, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address