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••• J• K•••••••••

C••••• I••••••••• A••••••• L••BD affiliatedWinston-Salem, Ncdual registrantIAPD 2868725

Feed of 09/14/2026

Also filed as J••• Joseph K•••••••••

At current firm

1 y

since Jul 29, 2025

In the industry

29 y

since Aug 25, 1997 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jul 29, 2025 · Winston-Salem, Nc
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 4, 2024 to Jul 8, 2025 · Southington, Ct
S••••••• P•••••• F••••••••• L•• former
Feb 22, 2016 to Mar 1, 2024 · Southington, Ct
C••• F•••••••• S•••••••• L••• former
Feb 22, 2016 to Mar 1, 2024 · Southington, Ct
A•• I••••••••• S•••••••• I••• asset manager
Jul 9, 2010 to Feb 24, 2016 · Shelton, Ct
O•••• F•• I••• former
Feb 6, 2007 to Jun 2, 2010 · Hartford, Ct
N••••••••• I••••••••• I••• unclassified
May 16, 2006 to Feb 7, 2007 · Cheshire, Ct
O•••• F•• I••• former
Nov 7, 2005 to May 15, 2006 · Hartford, Ct
S••••• A••• I••••••••• A•••••• S•••••••• I••• former
Aug 23, 2005 to Nov 7, 2005 · Windsor, Ct
O•••• F•• I••• former
Sep 12, 2002 to Aug 15, 2005 · Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to S••••••• P•••••• F••••••••• L••
left Mar 1, 2024, registered Feb 22, 2016 (-2930 days) · Other
S••••••• P•••••• F••••••••• L•• to C••• F•••••••• S•••••••• L•••
left Mar 1, 2024, registered Feb 22, 2016 (-2930 days) · channel change inside one enterprise, not a move
A•• I••••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••
left Feb 24, 2016, registered Feb 22, 2016 (-2 days) · Other
O•••• F•• I••• to A•• I••••••••• S•••••••• I•••
left Jun 2, 2010, registered Jul 9, 2010 (37 days) · Other
N••••••••• I••••••••• I••• to O•••• F•• I•••
left Feb 7, 2007, registered Feb 6, 2007 (-1 days) · Other
O•••• F•• I••• to N••••••••• I••••••••• I•••
left May 15, 2006, registered May 16, 2006 (1 days) · Other
S••••• A••• I••••••••• A•••••• S•••••••• I••• to O•••• F•• I•••
left Nov 7, 2005, registered Nov 7, 2005 (0 days) · Other
O•••• F•• I••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••
left Aug 15, 2005, registered Aug 23, 2005 (8 days) · Other

Signals

J••• J• K••••••••• left C••• F•••••••• S•••••••• L••• for S••••••• P•••••• F••••••••• L•• (registered 2016-02-22)
Mar 1, 2024 · 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address