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

K•••• J••• S•••

L•• F•••••••• L••BD affiliatedGeneva, Il dual registrantIAPD 1941166

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Jan 8, 2024

In the industry

37 y

since May 17, 1989 (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

L•• F•••••••• L•• BD affiliated current
since Jan 8, 2024 · Wausau, Wi
O•••• W•••••• I••• BD affiliated
Sep 1, 2023 to Jan 18, 2024 · Wausau, Wi
T•••• S••••• A•••••••• L•• former
Jul 22, 2022 to Apr 30, 2024 · Wausau, Wi
S•••••••• F••••••••• I••• former
Feb 8, 2011 to Sep 1, 2023 · Scottsdale, Az
O• I••••••••• M••••••••• C• BD affiliated
Aug 11, 2009 to Dec 31, 2010 · Wausau, Wi
E••••• D••••• A•••••••• L•• unclassified
Apr 11, 2005 to Mar 31, 2011 · Green Bay, Wi
S••••• C•••••• M••••••••• I••• independent RIA
Aug 20, 2003 to Dec 9, 2004 · Wausau, Wi

Moves

a registration end followed by a registration begin elsewhere

T•••• S••••• A•••••••• L•• to O•••• W•••••• I•••
left Apr 30, 2024, registered Sep 1, 2023 (-242 days) · RIA to affiliated broker-dealer or bank · moved with a team
O•••• W•••••• I••• to L•• F•••••••• L••
left Jan 18, 2024, registered Jan 8, 2024 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
S•••••••• F••••••••• I••• to T•••• S••••• A•••••••• L••
left Sep 1, 2023, registered Jul 22, 2022 (-406 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
E••••• D••••• A•••••••• L•• to O• I••••••••• M••••••••• C•
left Mar 31, 2011, registered Aug 11, 2009 (-597 days) · Other
O• I••••••••• M••••••••• C• to S•••••••• F••••••••• I•••
left Dec 31, 2010, registered Feb 8, 2011 (39 days) · Other
S••••• C•••••• M••••••••• I••• to E••••• D••••• A•••••••• L••
left Dec 9, 2004, registered Apr 11, 2005 (123 days) · Other

Signals

K•••• J••• S••• left T•••• S••••• A•••••••• L•• for O•••• W•••••• I••• (registered 2023-09-01)
Apr 30, 2024 · Advisor changed firm · fact
K•••• J••• S••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2024-01-08)
Jan 18, 2024 · Advisor changed firm · fact
K•••• J••• S••• left S•••••••• F••••••••• I••• for T•••• S••••• A•••••••• L•• (registered 2022-07-22)
Sep 1, 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