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

R•••••• J•••• K•••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedLas Vegas, Nvdual registrantIAPD 2084930

Feed of 09/14/2026

Also filed as R•••••• K•••••

At current firm

0 y

since Dec 1, 2025

In the industry

36 y

since Sep 17, 1990 (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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Dec 1, 2025 · Las Vegas, Nv
C••••••••• F•••••••• N•••••• national BD
Jan 25, 2019 to Dec 1, 2025 · Green Bay, Wi
M••••• S•••••• wirehouse
Jun 1, 2009 to Jan 28, 2019 · Greenbay, Wi
M••••• S•••••• • C•• L•• unclassified
Dec 5, 2008 to Jun 1, 2009 · Greenbay, Wi
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 23, 2008 to Dec 8, 2008 · Green Bay, Wi

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Dec 1, 2025, registered Dec 1, 2025 (0 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to C••••••••• F•••••••• N••••••
left Jan 28, 2019, registered Jan 25, 2019 (-3 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••
left Dec 8, 2008, registered Dec 5, 2008 (-3 days) · Other

Signals

R•••••• J•••• K••••• left C••••••••• F•••••••• N•••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-12-01)
Dec 1, 2025 · 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: 36derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address