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••••

T••• F•••••••• P•••••••state registeredLittleton, CoIA-onlyIAPD 6726162

Certified Financial Planner

Feed of 09/14/2026

Also filed as K•••••••• Hollister Williams

At current firm

2 y

since Oct 13, 2023

In the industry

18 y

since Aug 1, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T••• F•••••••• P••••••• state registered current
since Oct 13, 2023 · Littleton, Co
O••• F•••••••• S•••••••• L•• independent RIA
Jun 18, 2024 to Mar 17, 2025 · Lakewood, Co
K••••• A••••••• S•••••••• L•• BD affiliated
Dec 21, 2021 to Jun 2, 2023 · Austin, Tx
F•••••••• S••••••• M••••••••• I•• independent RIA
Aug 9, 2018 to Dec 3, 2021 · Lakewood, Co

Moves

a registration end followed by a registration begin elsewhere

O••• F•••••••• S•••••••• L•• to no registered destination
left Mar 17, 2025 · Departure, no registered destination
K••••• A••••••• S•••••••• L•• to T••• F•••••••• P•••••••
left Jun 2, 2023, registered Oct 13, 2023 (133 days) · Affiliated broker-dealer or bank to a state-registered adviser
F•••••••• S••••••• M••••••••• I•• to K••••• A••••••• S•••••••• L••
left Dec 3, 2021, registered Dec 21, 2021 (18 days) · RIA to affiliated broker-dealer or bank

Signals

K•••••••• L•••• no longer registered at O••• F•••••••• S•••••••• L••; no later IA registration on IAPD
Mar 17, 2025 · Advisor departure · fact
K•••••••• L•••• left K••••• A••••••• S•••••••• L•• for T••• F•••••••• P••••••• (registered 2023-10-13)
Jun 2, 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: STATE REGISTEREDderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address