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•••• A•••• J••••

I•••••• A•••••••• I•••asset managerGreenwood Village, Codual registrantIAPD 5006088

Feed of 09/14/2026

At current firm

1 y

since Jun 19, 2025

In the industry

20 y

since Sep 15, 2006 (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

I•••••• A•••••••• I••• asset manager current
since Jun 19, 2025 · Greenwood Village, Co
N••••• A•••• M••••••••• L•• mixed wealth
Jul 7, 2016 to Mar 6, 2025 · Chicago, Il
S•••••• N••••••• • C••••••• I••••••••• national BD
Dec 4, 2015 to Jun 9, 2016 · St. Louis, Mo
B••••••• C•••••• I••• former
May 3, 2010 to Dec 4, 2015 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 18, 2006 to Apr 21, 2010 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

N••••• A•••• M••••••••• L•• to I•••••• A•••••••• I•••
left Mar 6, 2025, registered Jun 19, 2025 (105 days) · Other
S•••••• N••••••• • C••••••• I••••••••• to N••••• A•••• M••••••••• L••
left Jun 9, 2016, registered Jul 7, 2016 (28 days) · Other
B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• C•••••• I•••
left Apr 21, 2010, registered May 3, 2010 (12 days) · Other

Signals

K•••• A•••• J•••• left N••••• A•••• M••••••••• L•• for I•••••• A•••••••• I••• (registered 2025-06-19)
Mar 6, 2025 · 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: Asset manager (funds and pooled vehicles)derived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address