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.

Registered advisor

John Thomson Klevens

Sequel Capital Management, LLCstate registeredScottsdale, AzIA-onlyIAPD 2125586

Certified Financial Planner

Feed of 09/14/2026

At current firm

0 y

since Aug 25, 2026

In the industry

35 y

since Mar 1, 1991 (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

Sequel Capital Management, LLC state registered current
since Aug 25, 2026 · Scottsdale, Az
Mariner BD affiliated
Oct 17, 2023 to Aug 19, 2025 · Kirkland, Wa
Pfg Advisors independent RIA
Mar 11, 2021 to Sep 3, 2023 · Bellevue, Wa
Arbor Point Advisors former
Nov 18, 2020 to Aug 31, 2023 · Bellevue, Wa
Securities America Advisors, Inc. former
Nov 6, 2020 to Aug 31, 2023 · Bellevue, Wa
Kms Financial Services, Inc former
Mar 16, 2001 to Nov 6, 2020 · Bellevue, Wa

Moves

a registration end followed by a registration begin elsewhere

Mariner to Sequel Capital Management, LLC
left Aug 19, 2025, registered Aug 25, 2026 (371 days) · Affiliated broker-dealer or bank to a state-registered adviser
Pfg Advisors to Mariner
left Sep 3, 2023, registered Oct 17, 2023 (44 days) · RIA to affiliated broker-dealer or bank · moved with a team
Arbor Point Advisors to Pfg Advisors
left Aug 31, 2023, registered Mar 11, 2021 (-903 days) · Affiliated broker-dealer or bank to independent RIA
Securities America Advisors, Inc. to Arbor Point Advisors
left Aug 31, 2023, registered Nov 18, 2020 (-1016 days) · channel change inside one enterprise, not a move
Kms Financial Services, Inc to Securities America Advisors, Inc.
left Nov 6, 2020, registered Nov 6, 2020 (0 days) · corporate re-registration, not a move

Signals

John Thomson Klevens left Mariner for Sequel Capital Management, Llc (registered 2026-08-25)
Aug 19, 2025 · Advisor changed firm · fact
John Thomson Klevens left Pfg Advisors for Mariner (registered 2023-10-17)
Sep 3, 2023 · Advisor changed firm · fact
John Thomson Klevens left Arbor Point Advisors for Pfg Advisors (registered 2021-03-11)
Aug 31, 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: STATE REGISTEREDderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address