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

J•••• T••••• K•••

R•• C•••••• M••••••• L••national BDMinneapolis, Mn dual registrantIAPD 4767960

Certified Financial Planner

Feed of 09/14/2026

Also filed as Jim T••••• K•••

At current firm

1 y

since Apr 15, 2025

In the industry

22 y

since Apr 24, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•• C•••••• M••••••• L•• national BD current
since Apr 15, 2025 · St. Paul, Mn
U••• B•••••• I••••••••• I••• former
Apr 19, 2018 to Oct 24, 2024 · Saint Paul, Mn
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 10, 2013 to Jun 11, 2015 · Minneapolis, Mn
M••••• S•••••• wirehouse
May 1, 2012 to Sep 26, 2013 · Minneapolis, Mn
M••••• S•••••• wirehouse
May 19, 2011 to Dec 21, 2011 · Minneapolis, Mn
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 2, 2009 to Nov 30, 2010 · Wayzata, Mn

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to R•• C•••••• M••••••• L••
left Oct 24, 2024, registered Apr 15, 2025 (173 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to U••• B•••••• I••••••••• I•••
left Jun 11, 2015, registered Apr 19, 2018 (1043 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••
left Sep 26, 2013, registered Oct 10, 2013 (14 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Nov 30, 2010, registered May 19, 2011 (170 days) · Wirehouse to wirehouse

Signals

J•••• T••••• K••• left U••• B•••••• I••••••••• I••• for R•• C•••••• M••••••• L•• (registered 2025-04-15)
Oct 24, 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: National broker-dealer RIAderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address