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.

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Registered advisor

K••• R•

L•• F•••••••• L••BD affiliatedElgin, Il dual registrantIAPD 7094402

Feed of 09/15/2026

At current firm

1 y

since Jan 23, 2025

In the industry

11 y

since May 1, 2015 (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

L•• F•••••••• L•• BD affiliated current
since Jan 23, 2025 · Elgin, Il
G•••• L•••• A•••••••• L•• other
Nov 29, 2023 to Jan 30, 2025 · Chicago, Il
W••••••• I••••••••• former
Nov 29, 2023 to Jan 23, 2025 · Chicago, Il
C••••••• S••••••••• I••• BD affiliated
Sep 9, 2021 to Nov 2, 2023 · West Palm Beach, Fl
T••••••• I••••••••• M••••••••• I••• BD affiliated
Aug 26, 2019 to Jul 23, 2021 · Camp Hill, Pa

Moves

a registration end followed by a registration begin elsewhere

G•••• L•••• A•••••••• L•• to L•• F•••••••• L••
left Jan 30, 2025, registered Jan 23, 2025 (-7 days) · Other · moved with a team
W••••••• I••••••••• to G•••• L•••• A•••••••• L••
left Jan 23, 2025, registered Nov 29, 2023 (-421 days) · channel change inside one enterprise, not a move · moved with a team
C••••••• S••••••••• I••• to W••••••• I•••••••••
left Nov 2, 2023, registered Nov 29, 2023 (27 days) · Affiliated broker-dealer or bank to independent RIA
T••••••• I••••••••• M••••••••• I••• to C••••••• S••••••••• I•••
left Jul 23, 2021, registered Sep 9, 2021 (48 days) · Affiliated broker-dealer or bank to another

Signals

K••• R• left G•••• L•••• A•••••••• L•• for L•• F•••••••• L•• (registered 2025-01-23)
Jan 30, 2025 · Advisor changed firm · fact
K••• R• left C••••••• S••••••••• I••• for W••••••• I••••••••• (registered 2023-11-29)
Nov 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: Broker-dealer affiliated wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address