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•••••• L••• R•••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedPonte Vedra, Fl dual registrantIAPD 5730104

Feed of 09/14/2026

Also filed as J•••••• L••• Kauffman

At current firm

0 y

since Apr 14, 2026

In the industry

16 y

since Mar 26, 2010 (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•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Apr 14, 2026 · Saint Petersburg, Fl
M••••• S•••••• wirehouse
Sep 18, 2024 to Mar 31, 2026 · Jacksonville, Fl
W••••••••• P••••••• independent RIA
Jan 15, 2020 to Sep 17, 2024 · Omaha, Ne
W••••••••• P••••••• former
Feb 13, 2019 to Jul 10, 2020 · New York, Ny
S•••••••• A••••••• L•• national BD
Jan 21, 2015 to Mar 10, 2017 · New York, Ny
W•••• F•••• A••••••• wirehouse
Feb 19, 2013 to Feb 25, 2014 · West Orange, Nj
S•••••••• A••••••• L•• national BD
Dec 14, 2012 to Feb 6, 2013 · Millburn, Nj
R•• C•••••• M••••••• L•• national BD
Apr 6, 2010 to Apr 28, 2011 · Omaha, Ne

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Mar 31, 2026, registered Apr 14, 2026 (14 days) · Wirehouse to affiliated broker-dealer or bank
W••••••••• P••••••• to M••••• S••••••
left Sep 17, 2024, registered Sep 18, 2024 (1 days) · RIA to wirehouse
W••••••••• P••••••• to W••••••••• P•••••••
left Jul 10, 2020, registered Jan 15, 2020 (-177 days) · corporate re-registration, not a move
S•••••••• A••••••• L•• to W••••••••• P•••••••
left Mar 10, 2017, registered Feb 13, 2019 (705 days) · Affiliated broker-dealer or bank to independent RIA
W•••• F•••• A••••••• to S•••••••• A••••••• L••
left Feb 25, 2014, registered Jan 21, 2015 (330 days) · Wirehouse to affiliated broker-dealer or bank
S•••••••• A••••••• L•• to W•••• F•••• A•••••••
left Feb 6, 2013, registered Feb 19, 2013 (13 days) · Affiliated broker-dealer or bank to wirehouse
R•• C•••••• M••••••• L•• to S•••••••• A••••••• L••
left Apr 28, 2011, registered Dec 14, 2012 (596 days) · Affiliated broker-dealer or bank to another

Signals

J•••••• L••• R••••• left M••••• S•••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2026-04-14)
Mar 31, 2026 · Advisor changed firm · fact
J•••••• L••• R••••• left W••••••••• P••••••• for M••••• S•••••• (registered 2024-09-18)
Sep 17, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address