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.

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Registered advisor

K•••••• C•••••

C•••••••• G••••• M•••••• I•••BD affiliatedNew York, Ny dual registrantIAPD 4210804

Feed of 09/14/2026

Also filed as Kenneth Jude Clough

At current firm

2 y

since Nov 30, 2023

In the industry

25 y

since Dec 8, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• G••••• M•••••• I••• BD affiliated current
since Nov 30, 2023 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 19, 2023 to Nov 29, 2023 · New York, Ny
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Jan 24, 2023 · New York, Ny
C•••• I••••••••• S••••••• C•••• former
Feb 12, 2009 to Oct 1, 2012 · New York City, Ny
F••••••• S••••••••• I••• independent RIA
Nov 30, 2007 to Feb 2, 2009 · Staten Island, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
May 29, 2007 to Dec 13, 2007 · New York, Ny
C••••••• I••••••••• S••••••• unclassified
Nov 9, 2004 to May 29, 2007 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Dec 16, 2002 to Jan 27, 2004 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••
left Nov 29, 2023, registered Nov 30, 2023 (1 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 24, 2023, registered Jan 19, 2023 (-5 days) · Wirehouse to wirehouse · moved with a team
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
F••••••• S••••••••• I••• to C•••• I••••••••• S••••••• C••••
left Feb 2, 2009, registered Feb 12, 2009 (10 days) · Other
C•••••••• G••••• M•••••• I••• to F••••••• S••••••••• I•••
left Dec 13, 2007, registered Nov 30, 2007 (-13 days) · Other
C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••
left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to C••••••• I••••••••• S•••••••
left Jan 27, 2004, registered Nov 9, 2004 (287 days) · Other

Signals

K•••••• C••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C•••••••• G••••• M•••••• I••• (registered 2023-11-30)
Nov 29, 2023 · Advisor changed firm · fact
K•••••• C••••• left J••• M••••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-01-19)
Jan 24, 2023 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address