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

R•••••• J••••• K••••

B•••••• L••• A••••••• S•••••••• I•••BD affiliatedWilliamsport, Pa dual registrantIAPD 3186443

Feed of 09/14/2026

Also filed as R•••••• J••••• K••••

At current firm

7 y

since Oct 31, 2018

In the industry

23 y

since Apr 9, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

B•••••• L••• A••••••• S•••••••• I••• BD affiliated current
since Oct 31, 2018 · Chicago, Il
A••••••• C•••••• M••••••••• L•• independent RIA
Oct 13, 2015 to Dec 22, 2015 · Middletown, De
C••••• C••••••• L•• former
Apr 4, 2013 to Sep 15, 2015 · Denver, Co
B•••••••• I••••••••• M••••••••• L•• asset manager
Sep 29, 2006 to Jun 5, 2007 · Plainsboro, Nj
M•••••• L•••• I••••••••• M••••••• L• unclassified
Apr 9, 2003 to Sep 29, 2006 · Plainsboro, Nj

Moves

a registration end followed by a registration begin elsewhere

A••••••• C•••••• M••••••••• L•• to B•••••• L••• A••••••• S•••••••• I•••
left Dec 22, 2015, registered Oct 31, 2018 (1044 days) · Other
C••••• C••••••• L•• to A••••••• C•••••• M••••••••• L••
left Sep 15, 2015, registered Oct 13, 2015 (28 days) · Other · moved with a team
B•••••••• I••••••••• M••••••••• L•• to C••••• C••••••• L••
left Jun 5, 2007, registered Apr 4, 2013 (2130 days) · Other
M•••••• L•••• I••••••••• M••••••• L• to B•••••••• I••••••••• M••••••••• L••
left Sep 29, 2006, registered Sep 29, 2006 (0 days) · corporate re-registration, not a move

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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address