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

D••••• J•••• K•••

V•••• F•••••••• A•••••••• I•••BD affiliatedSylacauga, Al dual registrantIAPD 1835771

Certified Financial Planner

Feed of 09/15/2026

Also filed as D••••• J•••• K•••

At current firm

3 y

since Apr 10, 2023

In the industry

37 y

since Jan 27, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

V•••• F•••••••• A•••••••• I••• BD affiliated current
since Apr 10, 2023 · Savannah, Tn
A••••••• F•••••••• A•••••••• L•• BD affiliated
Mar 31, 2020 to Apr 6, 2023 · Plainfield, Il
A••••••• F•••••••• A•••••••• L•• BD affiliated
May 10, 2018 to Dec 31, 2019 · St Charles, Il
S•••••••• A••••••• L•• national BD
Jun 7, 2004 to Jul 12, 2017 · Naperville, Il
V••• F•••••••• P•••••••• L•• former
Jan 27, 2004 to Mar 15, 2004 · Lisle, Il

Moves

a registration end followed by a registration begin elsewhere

A••••••• F•••••••• A•••••••• L•• to V•••• F•••••••• A•••••••• I•••
left Apr 6, 2023, registered Apr 10, 2023 (4 days) · Affiliated broker-dealer or bank to another
S•••••••• A••••••• L•• to A••••••• F•••••••• A•••••••• L••
left Jul 12, 2017, registered May 10, 2018 (302 days) · Affiliated broker-dealer or bank to another
V••• F•••••••• P•••••••• L•• to S•••••••• A••••••• L••
left Mar 15, 2004, registered Jun 7, 2004 (84 days) · Other

Signals

D••••• J•••• K••• left A••••••• F•••••••• A•••••••• L•• for V•••• F•••••••• A•••••••• I••• (registered 2023-04-10)
Apr 6, 2023 · 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: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address