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

D•••• R••••• K••••••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseTampa, Fldual registrantIAPD 6678692

Feed of 09/14/2026

At current firm

3 y

since Jun 1, 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

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Jun 1, 2023 · Tampa, Fl
C•••••• independent RIA
Mar 22, 2023 to Jun 7, 2023 · St. Petersburg, Fl
C• D•••• P•••••• W•••••• L•• former
Jun 20, 2018 to Mar 31, 2023 · St. Petersburg, Fl
P••• A••••• S••••••••• L•• BD affiliated
Jan 23, 2018 to Apr 24, 2018 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

C•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 7, 2023, registered Jun 1, 2023 (-6 days) · Affiliated broker-dealer or bank to wirehouse
C• D•••• P•••••• W•••••• L•• to C••••••
left Mar 31, 2023, registered Mar 22, 2023 (-9 days) · RIA to RIA · moved with a team
P••• A••••• S••••••••• L•• to C• D•••• P•••••• W•••••• L••
left Apr 24, 2018, registered Jun 20, 2018 (57 days) · Affiliated broker-dealer or bank to independent RIA

Signals

D•••• R••••• K•••••••• left Corient for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-06-01)
Jun 7, 2023 · Advisor changed firm · fact
D•••• R••••• K•••••••• left C• D•••• P•••••• W•••••• L•• for Corient (registered 2023-03-22)
Mar 31, 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: Wirehousederived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address