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•••••• J••••

E•••••••• A•••••••• L••national BDReading, Padual registrantIAPD 4298100

Feed of 09/14/2026

Also filed as Kristin L Guarino

At current firm

0 y

since Nov 7, 2025

In the industry

23 y

since Oct 28, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••••• A•••••••• L•• national BD current
since Nov 7, 2025 · Reading, Pa
T••••••• I••••••••• M••••••••• I••• BD affiliated
Mar 4, 2024 to Jul 15, 2024 · Bellevue, Wa
C••••• A•••••• N••••••• L•• former
Apr 11, 2022 to Mar 17, 2023 · Sanatoga, Pa
M••••• S•••••• wirehouse
May 1, 2010 to Nov 12, 2020 · Allentown, Pa

Moves

a registration end followed by a registration begin elsewhere

T••••••• I••••••••• M••••••••• I••• to E•••••••• A•••••••• L••
left Jul 15, 2024, registered Nov 7, 2025 (480 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to T••••••• I••••••••• M••••••••• I•••
left Mar 17, 2023, registered Mar 4, 2024 (353 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to C••••• A•••••• N••••••• L••
left Nov 12, 2020, registered Apr 11, 2022 (515 days) · Wirehouse to affiliated broker-dealer or bank

Signals

K•••••• J•••• left T••••••• I••••••••• M••••••••• I••• for E•••••••• A•••••••• L•• (registered 2025-11-07)
Jul 15, 2024 · a•••••• firm change · fact
K•••••• J•••• left C••••• A•••••• N••••••• L•• for T••••••• I••••••••• M••••••••• I••• (registered 2024-03-04)
Mar 17, 2023 · a•••••• firm change · 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: National broker-dealer RIAderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address