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

K•••••• R••• J••••

N••••••• T•••• S••••••••• I••BD affiliatedChicago, Il dual registrantIAPD 3163515

Feed of 09/15/2026

Also filed as Kathy J••••

At current firm

2 y

since Oct 30, 2023

In the industry

27 y

since Feb 4, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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

N••••••• T•••• S••••••••• I•• BD affiliated current
since Oct 30, 2023 · Bonita Springs, Fl
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 6, 2022 to Jan 5, 2023 · Naples, Fl
C•••••• S••••• • C••• I••• national BD
Jul 14, 2016 to Feb 14, 2022 · New York City, Ny
V•••• F•••••••• A•••••••• I••• BD affiliated
Jan 9, 2013 to Jun 23, 2016 · Latham, Ny
L•••• A••••• • C•• L•• asset manager
Mar 22, 2005 to Apr 27, 2005 · Jersey City, Nj

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to N••••••• T•••• S••••••••• I••
left Jan 5, 2023, registered Oct 30, 2023 (298 days) · Affiliated broker-dealer or bank to another
C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Feb 14, 2022, registered Apr 6, 2022 (51 days) · Affiliated broker-dealer or bank to another
V•••• F•••••••• A•••••••• I••• to C•••••• S••••• • C••• I•••
left Jun 23, 2016, registered Jul 14, 2016 (21 days) · Other
L•••• A••••• • C•• L•• to V•••• F•••••••• A•••••••• I•••
left Apr 27, 2005, registered Jan 9, 2013 (2814 days) · Other

Signals

K•••••• R••• J•••• left F••••••• P••••••• A•• W•••••••• A••••••• for N••••••• T•••• S••••••••• I•• (registered 2023-10-30)
Jan 5, 2023 · Advisor changed firm · fact
K•••••• R••• J•••• left C•••••• S••••• • C••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-04-06)
Feb 14, 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address