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.
Registered advisor
Kevin S. Clark
Feed of 09/15/2026
Also filed as Kevin Clark
At current firm
4 y
since Oct 4, 2021
In the industry
21 y
since Jan 12, 2005 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J.P. Morgan Securities LLC wirehouse currentsince Oct 4, 2021 · Lutz, Fl
- Fifth Third Securities, Inc. BD affiliatedDec 26, 2018 to Sep 2, 2021 · Tampa, Fl
- Pnc Wealth Management BD affiliatedApr 28, 2016 to Dec 13, 2018 · Wesley Chapel, Fl
- Wells Fargo Advisors wirehouseSep 9, 2014 to Mar 18, 2016 · Tampa, Fl
- Guggenheim Investments asset managerMar 4, 2014 to Aug 18, 2014 · New York, Ny
- Guggenheim Investments asset managerMar 1, 2006 to Nov 4, 2008 · Chicago, Il
- UBS Financial Services Inc. wirehouseJan 13, 2005 to Feb 6, 2006 · Hartford, Ct
Moves
a registration end followed by a registration begin elsewhere
- Fifth Third Securities, Inc. to J.P. Morgan Securities LLCleft Sep 2, 2021, registered Oct 4, 2021 (32 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- Pnc Wealth Management to Fifth Third Securities, Inc.left Dec 13, 2018, registered Dec 26, 2018 (13 days) · Affiliated broker-dealer or bank to another
- Wells Fargo Advisors to Pnc Wealth Managementleft Mar 18, 2016, registered Apr 28, 2016 (41 days) · Other
- Guggenheim Investments to Wells Fargo Advisorsleft Aug 18, 2014, registered Sep 9, 2014 (22 days) · Other
- Guggenheim Investments to Guggenheim Investmentsleft Nov 4, 2008, registered Mar 4, 2014 (1946 days) · channel change inside one enterprise, not a move
- UBS Financial Services Inc. to Guggenheim Investmentsleft Feb 6, 2006, registered Mar 1, 2006 (23 days) · Other
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address