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••••• A••• L•••••••

W•••• F•••• A•••••••wirehouseCharlotte, Nc dual registrantIAPD 7508254

Feed of 09/15/2026

Also filed as K••••• L•••••••

At current firm

0 y

since Jul 20, 2026

In the industry

13 y

since Dec 1, 2012 (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

W•••• F•••• A••••••• wirehouse current
since Jul 20, 2026 · Charlotte, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 28, 2026 to May 23, 2026 · Hunt Valley, Md
E•••••• A••••••• G••••• L•• BD affiliated
Nov 15, 2023 to Aug 21, 2025 · Greenwood Village, Co
T••••••• I••••••••• M••••••••• I••• BD affiliated
Jan 20, 2023 to Nov 9, 2023 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left May 23, 2026, registered Jul 20, 2026 (58 days) · Wirehouse to wirehouse
E•••••• A••••••• G••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 21, 2025, registered Jan 28, 2026 (160 days) · Affiliated broker-dealer or bank to wirehouse
T••••••• I••••••••• M••••••••• I••• to E•••••• A••••••• G••••• L••
left Nov 9, 2023, registered Nov 15, 2023 (6 days) · Affiliated broker-dealer or bank to another

Signals

K••••• A••• L••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2026-07-20)
May 23, 2026 · Advisor changed firm · fact
K••••• A••• L••••••• left E•••••• A••••••• G••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2026-01-28)
Aug 21, 2025 · Advisor changed firm · fact
K••••• A••• L••••••• left T••••••• I••••••••• M••••••••• I••• for E•••••• A••••••• G••••• L•• (registered 2023-11-15)
Nov 9, 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: Wirehousederived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address