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••••• I•••••• K••••••••

P•• W••••• M•••••••••BD affiliatedKinnelon, Njdual registrantIAPD 2765235

Feed of 09/14/2026

At current firm

9 y

since Oct 21, 2016

In the industry

25 y

since Feb 17, 2001 (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

P•• W••••• M••••••••• BD affiliated current
since Oct 21, 2016 · Kinnelon, Nj
T• A••••••••• I••••••••• M••••••••• L•• former
Sep 21, 2010 to Oct 19, 2016 · New York, Ny
T• A••••••••• I••• former
Sep 21, 2010 to Oct 19, 2016 · New York, Ny
W•••• F•••• A••••••• wirehouse
Oct 20, 2003 to Sep 10, 2010 · Oradell, Nj
U•• F•••••••• S••••••• I••• wirehouse
Apr 5, 2002 to Apr 26, 2002 · Edison, Nj

Moves

a registration end followed by a registration begin elsewhere

T• A••••••••• I••••••••• M••••••••• L•• to P•• W••••• M•••••••••
left Oct 19, 2016, registered Oct 21, 2016 (2 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 19, 2016, registered Sep 21, 2010 (-2220 days) · channel change inside one enterprise, not a move · moved with a team
W•••• F•••• A••••••• to T• A••••••••• I•••
left Sep 10, 2010, registered Sep 21, 2010 (11 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
left Apr 26, 2002, registered Oct 20, 2003 (542 days) · Wirehouse to wirehouse

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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address