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•••• L•• K••••••••

C••••• I••••••••• A••••••• L••BD affiliatedWest Des Moines, Ia dual registrantIAPD 2737336

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Aug 13, 2025

In the industry

27 y

since Jan 20, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Aug 13, 2025 · Winterset, Ia
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Oct 16, 2017 to Aug 19, 2025 · Winterset, Ia
I••••••••• C•••••• O• A••••••• I••• former
Jun 4, 2012 to Oct 16, 2017 · Bismarck, Nd
W••••••• F•••••••• S•••••••• I••• former
Oct 1, 2009 to Jun 7, 2012 · Winterset, Ia
C••••• A•••••• N••••••• L•• former
Aug 3, 2006 to Oct 14, 2009 · Nevada, Ia

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••
left Aug 19, 2025, registered Aug 13, 2025 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
I••••••••• C•••••• O• A••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Oct 16, 2017, registered Oct 16, 2017 (0 days) · Other · moved with a team
W••••••• F•••••••• S•••••••• I••• to I••••••••• C•••••• O• A••••••• I•••
left Jun 7, 2012, registered Jun 4, 2012 (-3 days) · Other
C••••• A•••••• N••••••• L•• to W••••••• F•••••••• S•••••••• I•••
left Oct 14, 2009, registered Oct 1, 2009 (-13 days) · Other

Signals

J•••• L•• K•••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2025-08-13)
Aug 19, 2025 · a•••••• firm change · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address