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

J•••• S•••• K••••

V••••••• A•••••••• I•••BD affiliatedCharlotte, Ncdual registrantIAPD 5537268

Certified Financial Planner

Feed of 09/14/2026

Also filed as J•••• S K••••

At current firm

1 y

since Jul 29, 2025

In the industry

14 y

since Apr 5, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

V••••••• A•••••••• I••• BD affiliated current
since Jul 29, 2025 · Charlotte, Nc
A•••••••• C•••••• M••••••••• independent RIA
Jun 22, 2021 to Jan 21, 2025 · Cornelius, Nc
U••••••• I••••••••• A•••••••• I••• independent RIA
Jul 15, 2016 to Jan 17, 2019 · Albemarle, Nc
K•••• P••••••• • W••••• M••••••••• L•• unclassified
Oct 26, 2012 to Jun 4, 2016 · Monroe, Nc
S••••• A••• A•••• M••••••••• I••• former
Apr 6, 2012 to Oct 26, 2012 · Concord, Nc

Moves

a registration end followed by a registration begin elsewhere

A•••••••• C•••••• M••••••••• to V••••••• A•••••••• I•••
left Jan 21, 2025, registered Jul 29, 2025 (189 days) · RIA to affiliated broker-dealer or bank
U••••••• I••••••••• A•••••••• I••• to A•••••••• C•••••• M•••••••••
left Jan 17, 2019, registered Jun 22, 2021 (887 days) · RIA to RIA
K•••• P••••••• • W••••• M••••••••• L•• to U••••••• I••••••••• A•••••••• I•••
left Jun 4, 2016, registered Jul 15, 2016 (41 days) · Other
S••••• A••• A•••• M••••••••• I••• to K•••• P••••••• • W••••• M••••••••• L••
left Oct 26, 2012, registered Oct 26, 2012 (0 days) · Other

Signals

J•••• S•••• K•••• left A•••••••• C•••••• M••••••••• for V••••••• A•••••••• I••• (registered 2025-07-29)
Jan 21, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address