DFX Intelligence

N••••••••• J•••• K••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

N••••••••• J•••• K••••••

Advisor at C••••• I••••••••• A••••••• L••

KAHULUI, HI

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Search this name across graphsid dfx:ria:1cdf3bba-66f8-4e82-105f-fc12e28d8b16

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 6, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 2, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 7, 2025	n/a	yes	KAHULUI, HI	Current employment
B••••• A•••••••	Former SEC adviser	May 4, 2015	Aug 11, 2025	no	HONOLULU, HI\|HONOLULU, HI\|HONOLULU, HI\|KANEOHE, HI\|LAHAINA, HI\|KAHULUI, HI\|Waimanalo, HI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••• A•••••••	C••••• I••••••••• A••••••• L••	Aug 11, 2025	Aug 7, 2025	-4	Firm change	RIA to ibd
L•• F•••••••• L••	B••••• A•••••••	May 12, 2015	May 4, 2015

Team moves

••• Locked

Team	Left	Joined	From	Kind
29280:105644:HI:2025-08-08	Aug 11, 2025	Aug 7, 2025	WAIMANALO, HI	Firm change

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 7, 2025 to presentfactForm ADV
→ B••••• A•••••••Registered adviserregistration: previous registration
May 4, 2015 to Aug 11, 2025factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Oct 5, 2012 to May 12, 2015factForm ADV
→ S••••••••• A•••••• A•••••••• I•••

Dated events

Occurred
Aug 11, 2025
Advisor changed firm
N••••••••• J•••• K•••••• left B••••• A••••••• for C••••• I••••••••• A••••••• L•• (registered 2025-08-07)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1cdf3bba-66f8-4e82-105f-fc12e28d8b16
First observed: Dec 6, 2006
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.