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•••••• K•••

L•• E••••••••• L••BD affiliatedOrlando, Fldual registrantIAPD 2900647

Feed of 09/14/2026

Also filed as J•••••• J K•••

At current firm

1 y

since Nov 18, 2024

In the industry

29 y

since Aug 4, 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

L•• E••••••••• L•• BD affiliated current
since Nov 18, 2024 · Orlando, Fl
P•••• S••••••••• L•• no RAUM
Feb 7, 2024 to Nov 12, 2024 · Orlando, Fl
N••• C••••••••• BD affiliated
Jan 4, 2021 to Feb 5, 2024 · Boca Raton, Fl
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Mar 4, 2019 to Dec 18, 2020 · Umatilla, Fl
M•• I•••••••• S•••••••• L•• BD affiliated
Mar 25, 2017 to Nov 19, 2018 · Orlando, Fl
M•• F•••••••• S•••••••• I••• former
Dec 7, 2015 to Mar 25, 2017 · Orlando, Fl
L••••• F••••••••• I••• BD affiliated
Jan 15, 2014 to Dec 1, 2015 · New Smyrna Beach, Fl
F•••• T•••• S••••••••• I••• BD affiliated
Dec 19, 2011 to Jan 10, 2014 · Deltona, Fl
S••••••• I••••••••• S•••••••• I••• former
May 12, 2010 to Dec 9, 2011 · Longwood, Fl
M••••• K••••• • C••••••• L•• former
Nov 13, 2009 to Apr 9, 2010 · Winter Park, Fl
C••••••• A•••• M••••••••• I•• unclassified
Jan 16, 2007 to Oct 29, 2009 · Eustis, Fl
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Jun 3, 2005 to Jan 4, 2007 · Mt. Dora, Fl
W•••• F•••• A••••••• wirehouse
Nov 22, 2002 to Dec 19, 2003 · Altamonte Springs, Fl
M••••• S•••••• D• I••• unclassified
Aug 5, 1997 to Nov 19, 2002 · Eustis, Fl

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 12, 2024, registered Nov 18, 2024 (6 days) · corporate re-registration, not a move
N••• C••••••••• to P•••• S••••••••• L••
left Feb 5, 2024, registered Feb 7, 2024 (2 days) · Affiliated broker-dealer or bank to another
C•••••••• I••••••••• R••••••• A•••••••• I••• to N••• C•••••••••
left Dec 18, 2020, registered Jan 4, 2021 (17 days) · Affiliated broker-dealer or bank to another
M•• I•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Nov 19, 2018, registered Mar 4, 2019 (105 days) · Affiliated broker-dealer or bank to another
M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
L••••• F••••••••• I••• to M•• F•••••••• S•••••••• I•••
left Dec 1, 2015, registered Dec 7, 2015 (6 days) · Other
F•••• T•••• S••••••••• I••• to L••••• F••••••••• I•••
left Jan 10, 2014, registered Jan 15, 2014 (5 days) · Other
S••••••• I••••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••
left Dec 9, 2011, registered Dec 19, 2011 (10 days) · Other
M••••• K••••• • C••••••• L•• to S••••••• I••••••••• S•••••••• I•••
left Apr 9, 2010, registered May 12, 2010 (33 days) · Other
C••••••• A•••• M••••••••• I•• to M••••• K••••• • C••••••• L••
left Oct 29, 2009, registered Nov 13, 2009 (15 days) · Other
R•••••• J•••• F•••••••• S•••••••• I••• to C••••••• A•••• M••••••••• I••
left Jan 4, 2007, registered Jan 16, 2007 (12 days) · Other
W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S•••••••• I•••
left Dec 19, 2003, registered Jun 3, 2005 (532 days) · Other
M••••• S•••••• D• I••• to W•••• F•••• A•••••••
left Nov 19, 2002, registered Nov 22, 2002 (3 days) · Other

Signals

J•••••• K••• left N••• C••••••••• for P•••• S••••••••• L•• (registered 2024-02-07)
Feb 5, 2024 · 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address