DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

K••••••• L••• J•••••

Advisor at R•••••• J•••• F•••••••• S••••••• A•••••••• I••

LOUISVILLE, KY

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Search this name across graphsid dfx:ria:36b3bbbb-dded-29cc-f6f4-22d730364a88

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 8, 2004 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: R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jul 21, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Jun 28, 2012	n/a	yes	LOUISVILLE, KY	Current employment
F•••• K••••••• S••••••••• C•••	Independent wealth	Feb 22, 2010	Jun 26, 2012	no	LOUISVILLE, KY\|LEXINGTON, KY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••• K••••••• S••••••••• C•••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Jun 26, 2012	Jun 28, 2012	2	Firm change	Other
P•• W••••• M•••••••••	F•••• K••••••• S••••••••• C•••	Feb 22, 2010	Feb 22, 2010

Relationships

Registered with (5)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: current employment
Jun 28, 2012 to presentfactForm ADV
→ F•••• K••••••• S••••••••• C•••Registered adviserregistration: previous registration
Feb 22, 2010 to Jun 26, 2012factForm ADV
→ P•• W••••• M•••••••••Registered adviserregistration: previous registration
Nov 13, 2009 to Feb 22, 2010factForm ADV
→ N•••••• I••••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:36b3bbbb-dded-29cc-f6f4-22d730364a88
First observed: Jan 8, 2004
Last observed: Sep 14, 2026 9 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.