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

J••• R••••• K••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedCincinnati, Oh dual registrantIAPD 2167483

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Jun 3, 2024

In the industry

34 y

since Sep 24, 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

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Jun 3, 2024 · Cincinnati, Oh
W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated
Mar 21, 2023 to Mar 6, 2024 · Cincinnati, Oh
C•••••••• F•••••••• P••••••• unclassified
Nov 19, 2022 to Mar 6, 2023 · Cincinnati, Oh
E•••••• A••••••• G••••• L•• BD affiliated
Apr 15, 2022 to Oct 4, 2022 · Cincinnati, Oh
C•• A•••••••• L•• independent RIA
Jan 15, 2021 to Apr 1, 2022 · Cincinnati, Oh
A••••• A•• P••••••• S••••••• BD affiliated
Sep 3, 2015 to Dec 22, 2020 · Cincinnati, Oh
C•••••• S••••• • C••• I••• national BD
Mar 15, 2012 to Aug 17, 2015 · Richfield, Oh
F•••• T•••• S••••••••• I••• BD affiliated
Jan 26, 2011 to Feb 10, 2012 · Cincinnati, Oh

Moves

a registration end followed by a registration begin elsewhere

C•••••••• F•••••••• P••••••• to W••••• E••••••••• A••••••• S•••••••• L••
left Mar 6, 2023, registered Mar 21, 2023 (15 days) · Other
E•••••• A••••••• G••••• L•• to C•••••••• F•••••••• P•••••••
left Oct 4, 2022, registered Nov 19, 2022 (46 days) · Other
C•• A•••••••• L•• to E•••••• A••••••• G••••• L••
left Apr 1, 2022, registered Apr 15, 2022 (14 days) · RIA to affiliated broker-dealer or bank
A••••• A•• P••••••• S••••••• to C•• A•••••••• L••
left Dec 22, 2020, registered Jan 15, 2021 (24 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• S••••• • C••• I••• to A••••• A•• P••••••• S•••••••
left Aug 17, 2015, registered Sep 3, 2015 (17 days) · Other
F•••• T•••• S••••••••• I••• to C•••••• S••••• • C••• I•••
left Feb 10, 2012, registered Mar 15, 2012 (34 days) · Other

Signals

J••• R••••• K•••• left C•••••••• F•••••••• P••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-03-21)
Mar 6, 2023 · Advisor changed firm · fact
J••• R••••• K•••• left E•••••• A••••••• G••••• L•• for C•••••••• F•••••••• P••••••• (registered 2022-11-19)
Oct 4, 2022 · Advisor changed firm · fact
J••• R••••• K•••• left C•• A•••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2022-04-15)
Apr 1, 2022 · 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address