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

J•••• E•••••• A•••••

K••••• P•••••• W••••• S•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 1286549

Feed of 09/15/2026

Also filed as Erk A•••••

At current firm

2 y

since Jul 18, 2024

In the industry

42 y

since Aug 22, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K••••• P•••••• W••••• S•••••••• L•• BD affiliated current
since Jul 18, 2024 · Austin, Tx
W•••• F•••• A••••••• wirehouse
Jun 8, 2012 to Jul 22, 2024 · Mobile, Al
M••••• S•••••• wirehouse
Jun 1, 2009 to Jun 21, 2012 · Mobile, Al
C•••••••• G••••• M•••••• I••• BD affiliated
May 23, 2005 to Jun 1, 2009 · Mobile, Al
M••••• S•••••• D• I••• unclassified
Apr 15, 1992 to May 25, 2005 · Mobile, Al

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to K••••• P•••••• W••••• S•••••••• L••
left Jul 22, 2024, registered Jul 18, 2024 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• to W•••• F•••• A•••••••
left Jun 21, 2012, registered Jun 8, 2012 (-13 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••
left May 25, 2005, registered May 23, 2005 (-2 days) · Other

Signals

J•••• E•••••• A••••• left W•••• F•••• A••••••• for K••••• P•••••• W••••• S•••••••• L•• (registered 2024-07-18)
Jul 22, 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: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address