DFX Intelligence

D•••• R••• K•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

D•••• R••• K•••••••••

Advisor at J••• M••••• S••••••••• L••

NEW ALBANY, IN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 2, 2002 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: J••• M••••• S••••••••• L••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Apr 7, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
J••• M••••• S••••••••• L••	Wirehouse	Jun 20, 2013	n/a	yes	NEW ALBANY, IN	Current employment
R•••••• J•••• • A••••••••• I•••	National bd RIA	Feb 23, 2012	Jun 20, 2013	no	LOUISVILLE, KY	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R•••••• J•••• • A••••••••• I•••	J••• M••••• S••••••••• L••	Jun 20, 2013	Jun 20, 2013	0	Firm change	Ibd to wirehouse
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	R•••••• J•••• • A••••••••• I•••	Feb 22, 2012	Feb 23, 2012

Relationships

Registered with (5)

→ J••• M••••• S••••••••• L••Registered adviserregistration: current employment
Jun 20, 2013 to presentfactForm ADV
→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: previous registration
Feb 23, 2012 to Jun 20, 2013factForm ADV
→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: previous registration
Jul 28, 2011 to Feb 22, 2012factForm ADV
→ P•• W••••• M•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 2, 2002
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.