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

S••••• R•• Y•••••

K••••• A••••••• S•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 7054228

Feed of 09/14/2026

Also filed as S••••• Y•••••

At current firm

2 y

since Sep 5, 2024

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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K••••• A••••••• S•••••••• L•• BD affiliated current
since Sep 5, 2024 · Austin, Tx
E•• F•••••••• A••••••• independent RIA
Mar 30, 2021 to Aug 20, 2024 · Red Bank, Nj
H•••••• T••••••• • K•••• L•• independent RIA
Nov 22, 2019 to Mar 25, 2021 · Haddonfield, Nj
E•• F•••••••• A••••••• independent RIA
Feb 21, 2019 to Jul 18, 2019 · Cherry Hill, Nj

Moves

a registration end followed by a registration begin elsewhere

E•• F•••••••• A••••••• to K••••• A••••••• S•••••••• L••
left Aug 20, 2024, registered Sep 5, 2024 (16 days) · RIA to affiliated broker-dealer or bank
H•••••• T••••••• • K•••• L•• to E•• F•••••••• A•••••••
left Mar 25, 2021, registered Mar 30, 2021 (5 days) · Affiliated broker-dealer or bank to another
E•• F•••••••• A••••••• to H•••••• T••••••• • K•••• L••
left Jul 18, 2019, registered Nov 22, 2019 (127 days) · Affiliated broker-dealer or bank to another

Signals

S••••• R•• Y••••• left E•• F•••••••• A••••••• for K••••• A••••••• S•••••••• L•• (registered 2024-09-05)
Aug 20, 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: 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