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

D••••• J••• K••••••

M•• I•••••••• S•••••••• L••BD affiliatedSpringfield, Ma dual registrantIAPD 2892824

Feed of 09/14/2026

Also filed as D••••• J K••••••

At current firm

1 y

since Jan 23, 2025

In the industry

28 y

since May 7, 1998 (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

M•• I•••••••• S•••••••• L•• BD affiliated current
since Jan 23, 2025 · East Hampton, Ct
C••• L•• BD affiliated
May 9, 2022 to Nov 20, 2024 · Omaha, Ne
K•••• C•••••• • A••••••••• I••• former
Nov 14, 2017 to May 12, 2022 · Farmington, Ct
V••• R••••••••• A•••••••• L•• other
Feb 2, 2010 to Apr 6, 2011 · Windsor, Ct
V••• F•••••••• P•••••••• L•• former
Sep 17, 2008 to Oct 27, 2017 · Windsor, Ct

Moves

a registration end followed by a registration begin elsewhere

C••• L•• to M•• I•••••••• S•••••••• L••
left Nov 20, 2024, registered Jan 23, 2025 (64 days) · Affiliated broker-dealer or bank to another
K•••• C•••••• • A••••••••• I••• to C••• L••
left May 12, 2022, registered May 9, 2022 (-3 days) · RIA to affiliated broker-dealer or bank · moved with a team
V••• F•••••••• P•••••••• L•• to V••• R••••••••• A•••••••• L••
left Oct 27, 2017, registered Feb 2, 2010 (-2824 days) · channel change inside one enterprise, not a move
V••• R••••••••• A•••••••• L•• to K•••• C•••••• • A••••••••• I•••
left Apr 6, 2011, registered Nov 14, 2017 (2414 days) · Other

Signals

D••••• J••• K•••••• left C••• L•• for M•• I•••••••• S•••••••• L•• (registered 2025-01-23)
Nov 20, 2024 · Advisor changed firm · fact
D••••• J••• K•••••• left K•••• C•••••• • A••••••••• I••• for C••• L•• (registered 2022-05-09)
May 12, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address