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•••••• S•••••• K••••

B• R•••• W••••• A•••••••• I•••BD affiliatedNew York, NyIA-onlyIAPD 2578433

Feed of 09/14/2026

At current firm

6 y

since Sep 13, 2020

In the industry

31 y

since Jan 20, 1995 (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

B• R•••• W••••• A•••••••• I••• BD affiliated current
since Sep 13, 2020 · New York, Ny
U••••• A••••••• S•••••••• L•• former
Jan 10, 2014 to Sep 17, 2020 · Boca Raton, Fl
C••••••••• C•••••• M••••••••• I••• independent RIA
Nov 21, 2012 to Aug 20, 2013 · Totowa, Nj
C••••••••• C•••••• M••••••••• I••• independent RIA
Dec 20, 2010 to Oct 26, 2012 · New York, Ny
M••••• S•••••• wirehouse
Jun 1, 2009 to Dec 16, 2010 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
May 1, 1998 to Jun 1, 2009 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

U••••• A••••••• S•••••••• L•• to B• R•••• W••••• A•••••••• I•••
left Sep 17, 2020, registered Sep 13, 2020 (-4 days) · RIA to affiliated broker-dealer or bank · moved with a team
C••••••••• C•••••• M••••••••• I••• to U••••• A••••••• S•••••••• L••
left Aug 20, 2013, registered Jan 10, 2014 (143 days) · Other
M••••• S•••••• to C••••••••• C•••••• M••••••••• I•••
left Dec 16, 2010, registered Dec 20, 2010 (4 days) · Other
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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