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••••••

I••••••••• A••••••• G••••independent RIALincoln, NeIA-onlyIAPD 6912124

Feed of 09/14/2026

Also filed as K••••• L••••••

At current firm

0 y

since Sep 22, 2025

In the industry

13 y

since Oct 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I••••••••• A••••••• G•••• independent RIA current
since Sep 22, 2025 · Lincoln, Ne
E••••• J•••• national BD
Apr 15, 2024 to Sep 18, 2025 · Lincoln, Ne
M••••• S•••••• wirehouse
Sep 20, 2022 to Jan 30, 2024 · Omaha, Ne
T• A••••••••• I••••••••• M••••••••• L•• former
Aug 30, 2019 to Oct 16, 2020 · Omaha, Ne
T• A••••••••• I••• former
Aug 29, 2019 to Aug 12, 2022 · Omaha, Ne

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to I••••••••• A••••••• G••••
left Sep 18, 2025, registered Sep 22, 2025 (4 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to E••••• J••••
left Jan 30, 2024, registered Apr 15, 2024 (76 days) · Wirehouse to affiliated broker-dealer or bank
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Aug 12, 2022, registered Aug 30, 2019 (-1078 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to M••••• S••••••
left Oct 16, 2020, registered Sep 20, 2022 (704 days) · RIA to wirehouse

Signals

K••••• L•••••• left E••••• J•••• for I••••••••• A••••••• G•••• (registered 2025-09-22)
Sep 18, 2025 · Advisor changed firm · fact
K••••• L•••••• left M••••• S•••••• for E••••• J•••• (registered 2024-04-15)
Jan 30, 2024 · 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: Independent wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address