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•••••

W•••• F•••• A•••••••wirehouseMinneapolis, Mn dual registrantIAPD 4013171

Feed of 09/15/2026

Also filed as Dan J••••• K•••••

At current firm

2 y

since Aug 28, 2024

In the industry

19 y

since Jul 30, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Aug 28, 2024 · Minneapolis, Mn
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 20, 2024 to Jul 12, 2024 · Monticello, Mn
P•••• S••••••••• L•• no RAUM
Mar 15, 2021 to Sep 16, 2022 · Minneapolis, Mn
P••••••••• S••••• S••••••••• L•• institutional
Jul 20, 2018 to Mar 15, 2021 · Plymouth, Mn
A••••••••• F•••••••• S•••••••• L•• national BD
Jan 7, 2014 to Jul 13, 2018 · Minneapolis, Mn

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••
left Jul 12, 2024, registered Aug 28, 2024 (47 days) · Affiliated broker-dealer or bank to wirehouse
P•••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Sep 16, 2022, registered Mar 20, 2024 (551 days) · Affiliated broker-dealer or bank to another · moved with a team
P••••••••• S••••• S••••••••• L•• to P•••• S••••••••• L••
left Mar 15, 2021, registered Mar 15, 2021 (0 days) · channel change inside one enterprise, not a move · moved with a team
A••••••••• F•••••••• S•••••••• L•• to P••••••••• S••••• S••••••••• L••
left Jul 13, 2018, registered Jul 20, 2018 (7 days) · Affiliated broker-dealer or bank to independent RIA

Signals

D••••• J••••• K••••• left A••••••••• F•••••••• S•••••••• L•• for W•••• F•••• A••••••• (registered 2024-08-28)
Jul 12, 2024 · Advisor changed firm · fact
D••••• J••••• K••••• left P•••• S••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-03-20)
Sep 16, 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: Wirehousederived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address