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

T•••• J•••• K•••••••

C•••••• S••••• • C••• I•••national BDSacramento, Cadual registrantIAPD 5032242

Certified Financial Planner

Feed of 09/14/2026

Also filed as T•••• J K•••••••

At current firm

0 y

since Jul 27, 2026

In the industry

20 y

since Oct 3, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Jul 27, 2026 · Sacramento, Ca
S••••• W••••• A•••••••• I••• no RAUM
Jul 15, 2025 to Jul 27, 2026 · Phoenix, Az
U••• I••••••••• S••••••• C•••••• no RAUM
Jan 8, 2018 to Jun 25, 2025 · San Antonio, Tx
U••• F•••••••• P••••••• S••••••• former
Dec 11, 2008 to Jan 8, 2018 · Phoenix, Az
U••• I••••••••• S••••••• C•••••• no RAUM
Jan 9, 2008 to Dec 31, 2008 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••
left Jul 27, 2026, registered Jul 27, 2026 (0 days) · Other
U••• I••••••••• S••••••• C•••••• to S••••• W••••• A•••••••• I•••
left Jun 25, 2025, registered Jul 15, 2025 (20 days) · Other
U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••
left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••
left Dec 31, 2008, registered Dec 11, 2008 (-20 days) · corporate re-registration, not a move

Signals

T•••• J•••• K••••••• left S••••• W••••• A•••••••• I••• for C•••••• S••••• • C••• I••• (registered 2026-07-27)
Jul 27, 2026 · Advisor changed firm · fact
T•••• J•••• K••••••• left U••• I••••••••• S••••••• C•••••• for S••••• W••••• A•••••••• I••• (registered 2025-07-15)
Jun 25, 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: National broker-dealer RIAderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address