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•••• C•••••••

S•••••• P•••••••• L••independent RIAMarlton, Nj IA-onlyIAPD 2504165

Feed of 09/15/2026

At current firm

0 y

since Mar 19, 2026

In the industry

30 y

since Dec 7, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• P•••••••• L•• independent RIA current
since Mar 19, 2026 · O••••, Ne
O•••• W•••••• I••• BD affiliated
Jun 14, 2024 to Mar 11, 2026 · Marlton, Nj
S••••••••• A•••••• A•••••••• I••• former
Nov 20, 2020 to Jun 14, 2024 · Marlton, Nj
E•••••••• A•••••••• L•• national BD
Nov 8, 2016 to Nov 23, 2020 · Conshohocken, Pa
M••••• O• O•••• I••••••• S•••••••• I••• independent RIA
Aug 29, 2011 to Nov 8, 2016 · Blue Bell, Pa
L•• F•••••••• L•• BD affiliated
Apr 8, 2008 to Aug 29, 2011 · Moorestown, Nj
W•••• F•••• A••••••• wirehouse
Feb 4, 2008 to Apr 9, 2008 · Marlton, Nj

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to S•••••• P•••••••• L••
left Mar 11, 2026, registered Mar 19, 2026 (8 days) · Affiliated broker-dealer or bank to independent RIA
S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
E•••••••• A•••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Nov 23, 2020, registered Nov 20, 2020 (-3 days) · Affiliated broker-dealer or bank to another
M••••• O• O•••• I••••••• S•••••••• I••• to E•••••••• A•••••••• L••
left Nov 8, 2016, registered Nov 8, 2016 (0 days) · Other
L•• F•••••••• L•• to M••••• O• O•••• I••••••• S•••••••• I•••
left Aug 29, 2011, registered Aug 29, 2011 (0 days) · Other
W•••• F•••• A••••••• to L•• F•••••••• L••
left Apr 9, 2008, registered Apr 8, 2008 (-1 days) · Other

Signals

K•••••• J•••• C••••••• left O•••• W•••••• I••• for S•••••• P•••••••• L•• (registered 2026-03-19)
Mar 11, 2026 · 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: Independent wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address