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••••• G•••• K•••••••

L•• F•••••••• L••BD affiliatedLouisville, Il dual registrantIAPD 7098338

Feed of 09/15/2026

At current firm

0 y

since May 20, 2026

In the industry

12 y

since Apr 1, 2014 (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 May 20, 2026 · Fort Mill, Sc
M•••••• A•••••• N•••••• BD affiliated
Oct 2, 2024 to May 22, 2026 · Louisville, Il
M•••••• BD affiliated
Sep 26, 2024 to Oct 1, 2024 · Louisville, Il
O•••• W•••••• I••• BD affiliated
Sep 1, 2023 to Sep 25, 2024 · Effingham, Il
S•••••••• F••••••••• I••• former
Apr 29, 2020 to Sep 1, 2023 · Effingham, Il
E••••• J•••• national BD
Jul 1, 2019 to Dec 17, 2019 · Louisville, Il

Moves

a registration end followed by a registration begin elsewhere

M•••••• A•••••• N•••••• to L•• F•••••••• L••
left May 22, 2026, registered May 20, 2026 (-2 days) · Affiliated broker-dealer or bank to another
M•••••• to M•••••• A•••••• N••••••
left Oct 1, 2024, registered Oct 2, 2024 (1 days) · Affiliated broker-dealer or bank to another
O•••• W•••••• I••• to M••••••
left Sep 25, 2024, registered Sep 26, 2024 (1 days) · Affiliated broker-dealer or bank to another
S•••••••• F••••••••• I••• to O•••• W•••••• I•••
left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
E••••• J•••• to S•••••••• F••••••••• I•••
left Dec 17, 2019, registered Apr 29, 2020 (134 days) · Affiliated broker-dealer or bank to another

Signals

A••••• G•••• K••••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2026-05-20)
May 22, 2026 · a•••••• firm change · fact
A••••• G•••• K••••••• left Mariner for M•••••• A•••••• N•••••• (registered 2024-10-02)
Oct 1, 2024 · a•••••• firm change · fact
A••••• G•••• K••••••• left O•••• W•••••• I••• for Mariner (registered 2024-09-26)
Sep 25, 2024 · a•••••• firm change · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address