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

A••••• P•••••• R••••

K•• I••••••••• S••••••• L••BD affiliatedBrooklyn, Oh dual registrantIAPD 6773908

Feed of 09/15/2026

Also filed as A••••• R••••

At current firm

4 y

since Apr 26, 2022

In the industry

10 y

since Sep 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

K•• I••••••••• S••••••• L•• BD affiliated current
since Apr 26, 2022 · Depew, Ny
H••• S••••••••• •••• I••• BD affiliated
Jan 31, 2022 to Apr 11, 2022 · Buffalo, Ny
W•••• F•••• A••••••• wirehouse
Sep 15, 2020 to Jan 26, 2022 · Williamsville, Ny
W•••• F•••• A••••••• wirehouse
Mar 10, 2020 to Jul 20, 2020 · Williamsville, Ny
H••• S••••••••• •••• I••• BD affiliated
May 29, 2019 to Dec 17, 2019 · Buffalo, Ny

Moves

a registration end followed by a registration begin elsewhere

H••• S••••••••• •••• I••• to K•• I••••••••• S••••••• L••
left Apr 11, 2022, registered Apr 26, 2022 (15 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to H••• S••••••••• •••• I•••
left Jan 26, 2022, registered Jan 31, 2022 (5 days) · Wirehouse to affiliated broker-dealer or bank
H••• S••••••••• •••• I••• to W•••• F•••• A•••••••
left Dec 17, 2019, registered Mar 10, 2020 (84 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team

Signals

A••••• P•••••• R•••• left H••• S••••••••• •••• I••• for K•• I••••••••• S••••••• L•• (registered 2022-04-26)
Apr 11, 2022 · Advisor changed firm · fact
A••••• P•••••• R•••• left W•••• F•••• A••••••• for H••• S••••••••• •••• I••• (registered 2022-01-31)
Jan 26, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address