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••••••• M• K•••••

S•••••••• A••••••• L••national BDMinneapolis, Mndual registrantIAPD 6749002

Feed of 09/14/2026

Also filed as Kathy Korman

At current firm

0 y

since Jan 24, 2026

In the industry

10 y

since Jul 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

S•••••••• A••••••• L•• national BD current
since Jan 24, 2026 · Minneapolis, Mn
P•••••••• A•••••• S••••••• BD affiliated
Sep 12, 2024 to Nov 4, 2025 · Minneapolis, Mn
K••••• A••••••• S•••••••• L•• BD affiliated
Sep 6, 2023 to Jan 29, 2024 · Minneapolis, Mn
L•• F•••••••• L•• BD affiliated
Feb 10, 2023 to Sep 20, 2023 · Minneapolis, Mn
E••••• J•••• national BD
Jun 2, 2017 to Jun 16, 2017 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

P•••••••• A•••••• S••••••• to S•••••••• A••••••• L••
left Nov 4, 2025, registered Jan 24, 2026 (81 days) · Affiliated broker-dealer or bank to another
K••••• A••••••• S•••••••• L•• to P•••••••• A•••••• S•••••••
left Jan 29, 2024, registered Sep 12, 2024 (227 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••
left Sep 20, 2023, registered Sep 6, 2023 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
E••••• J•••• to L•• F•••••••• L••
left Jun 16, 2017, registered Feb 10, 2023 (2065 days) · Affiliated broker-dealer or bank to independent RIA

Signals

K••••••• M• K••••• left P•••••••• A•••••• S••••••• for S•••••••• A••••••• L•• (registered 2026-01-24)
Nov 4, 2025 · Advisor changed firm · fact
K••••••• M• K••••• left K••••• A••••••• S•••••••• L•• for P•••••••• A•••••• S••••••• (registered 2024-09-12)
Jan 29, 2024 · Advisor changed firm · fact
K••••••• M• K••••• left L•• F•••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2023-09-06)
Sep 20, 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: National broker-dealer RIAderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address