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

J•••• P•••••• K•••

L•• F•••••••• L••BD affiliatedBarboursville, Wv dual registrantIAPD 4443630

Feed of 09/15/2026

At current firm

2 y

since Aug 8, 2024

In the industry

20 y

since Dec 6, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Aug 8, 2024 · Barboursville, Wv
C•••••••• F•••••••• G•••• A••••••• former
Sep 1, 2017 to Jun 20, 2024 · Kenova, Wv
O•••• F•• I••• former
Sep 30, 2014 to Sep 13, 2017 · Kenova, Wv
J••••• H•••••••• W••• L••••• L•• former
Feb 5, 2008 to Jun 27, 2008 · Charleston, Wv
C•••• I••••••••• S••••••• C•••• former
Sep 24, 2007 to Jan 31, 2008 · Charleston, Wv
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 6, 2005 to Jul 13, 2007 · Huntington, Wv

Moves

a registration end followed by a registration begin elsewhere

C•••••••• F•••••••• G•••• A••••••• to L•• F•••••••• L••
left Jun 20, 2024, registered Aug 8, 2024 (49 days) · Affiliated broker-dealer or bank to another
O•••• F•• I••• to C•••••••• F•••••••• G•••• A•••••••
left Sep 13, 2017, registered Sep 1, 2017 (-12 days) · Other
J••••• H•••••••• W••• L••••• L•• to O•••• F•• I•••
left Jun 27, 2008, registered Sep 30, 2014 (2286 days) · Other
C•••• I••••••••• S••••••• C•••• to J••••• H•••••••• W••• L••••• L••
left Jan 31, 2008, registered Feb 5, 2008 (5 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••
left Jul 13, 2007, registered Sep 24, 2007 (73 days) · Other

Signals

J•••• P•••••• K••• left C•••••••• F•••••••• G•••• A••••••• for L•• F•••••••• L•• (registered 2024-08-08)
Jun 20, 2024 · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address