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

R•••• K••• T••••

L•• F•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 727497

Feed of 09/14/2026

At current firm

2 y

since Apr 26, 2024

In the industry

39 y

since Oct 9, 1986 (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

L•• F•••••••• L•• BD affiliated current
since Apr 26, 2024 · San Diego, Ca
S••••••••• A•••••• A•••••••• I••• former
Dec 22, 2019 to Apr 29, 2024 · West Chester, Oh
N••• F•••••••• G••••• I••• former
Feb 2, 2009 to Dec 20, 2019 · Houston, Tx
S•• I••••••••• I••• former
Apr 8, 2004 to Feb 23, 2009 · West Chester, Oh
F•• S••••••••• C••••••••• former
Feb 5, 2001 to Apr 12, 2004 · Cincinnati, Oh

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••
left Apr 29, 2024, registered Apr 26, 2024 (-3 days) · Affiliated broker-dealer or bank to another
N••• F•••••••• G••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Dec 20, 2019, registered Dec 22, 2019 (2 days) · Affiliated broker-dealer or bank to another
S•• I••••••••• I••• to N••• F•••••••• G••••• I•••
left Feb 23, 2009, registered Feb 2, 2009 (-21 days) · Other
F•• S••••••••• C••••••••• to S•• I••••••••• I•••
left Apr 12, 2004, registered Apr 8, 2004 (-4 days) · Other

Signals

R•••• K••• T•••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2024-04-26)
Apr 29, 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: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address