DFX Intelligence
RIA Intelligence
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Registered advisor
K•••••• J••• R•••••
Feed of 09/14/2026
At current firm
5 y
since Oct 22, 2020
In the industry
37 y
since Nov 11, 1988 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Oct 22, 2020 · Holmdel, Nj
- U•• F•••••••• S••••••• I••• wirehouseDec 12, 2008 to Nov 19, 2020 · Wall, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Dec 15, 2008 · Red Bank, Nj
- M••••• S•••••• D• I••• unclassifiedJun 20, 2002 to Apr 2, 2007 · Red Bank, Nj
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Nov 19, 2020, registered Oct 22, 2020 (-28 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Dec 15, 2008, registered Dec 12, 2008 (-3 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address