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••••••• K••••

L•• E••••••••• L••BD affiliatedHuntington, Ny dual registrantIAPD 2457251

Feed of 09/15/2026

Also filed as Jonathan Darryl Klein

At current firm

1 y

since Nov 14, 2024

In the industry

31 y

since Mar 28, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• E••••••••• L•• BD affiliated current
since Nov 14, 2024 · Huntington, Ny
P•••• S••••••••• L•• no RAUM
Oct 24, 2023 to Nov 14, 2024 · Riverhead, Ny
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Aug 17, 2023 to Oct 24, 2023 · New York, Ny
S•••••• N••••••• • C••••••• I••••••••• national BD
Dec 4, 2015 to Jan 21, 2022 · New York, Ny
B••••••• C•••••• I••• former
Sep 28, 2010 to Dec 4, 2015 · New York, Ny
M••••• S•••••• wirehouse
Jun 1, 2009 to Oct 1, 2010 · New York, Ny
M••••• S•••••• • C•• L•• unclassified
Dec 13, 2005 to Jun 1, 2009 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
N••••••••• M••••• I••••••••• S••••••••• to P•••• S••••••••• L••
left Oct 24, 2023, registered Oct 24, 2023 (0 days) · Other
S•••••• N••••••• • C••••••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••
left Jan 21, 2022, registered Aug 17, 2023 (573 days) · Other
B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
M••••• S•••••• to B••••••• C•••••• I•••
left Oct 1, 2010, registered Sep 28, 2010 (-3 days) · Other
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

J••••••• K•••• left N••••••••• M••••• I••••••••• S••••••••• for P•••• S••••••••• L•• (registered 2023-10-24)
Oct 24, 2023 · Advisor changed firm · fact
J••••••• K•••• left S•••••• N••••••• • C••••••• I••••••••• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-08-17)
Jan 21, 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: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address