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

S••• J••••• K••••

M••••••BD affiliatedDedham, Ma IA-onlyIAPD 4746595

Certified Financial Planner

Feed of 09/15/2026

At current firm

3 y

since May 12, 2023

In the industry

22 y

since Mar 12, 2004 (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

M•••••• BD affiliated current
since May 12, 2023 · Foxborough, Ma
E•••••• F•••••••• E•••••• independent RIA
Nov 1, 2018 to Jun 6, 2023 · Foxboro, Ma
E•••••• F•••••••• S•••••••• L•• former
Sep 17, 2013 to Nov 1, 2018 · Needham, Ma
A••••• A•• P••••••• S••••••• BD affiliated
Feb 13, 2012 to Sep 4, 2013 · Waltham, Ma
S•••••••• A••••••• L•• national BD
Apr 13, 2007 to Jan 17, 2012 · Merrimack, Nh

Moves

a registration end followed by a registration begin elsewhere

E•••••• F•••••••• E•••••• to M••••••
left Jun 6, 2023, registered May 12, 2023 (-25 days) · RIA to affiliated broker-dealer or bank
E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••
left Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
A••••• A•• P••••••• S••••••• to E•••••• F•••••••• S•••••••• L••
left Sep 4, 2013, registered Sep 17, 2013 (13 days) · Other
S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••
left Jan 17, 2012, registered Feb 13, 2012 (27 days) · Other

Signals

S••• J••••• K•••• left E•••••• F•••••••• E•••••• for Mariner (registered 2023-05-12)
Jun 6, 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address