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RIA Intelligence
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Registered advisor
J••••• N••••• U••••
Feed of 09/14/2026
Also filed as J••••• N U••••
At current firm
3 y
since Nov 10, 2022
In the industry
16 y
since Aug 26, 2010 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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
- E•••••••• A•••••••• L•• national BD currentsince Nov 10, 2022 · Boca Raton, Fl
- H•••••• T••••••• • K•••• L•• independent RIANov 19, 2010 to Feb 8, 2012 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- H•••••• T••••••• • K•••• L•• to E•••••••• A•••••••• L••left Feb 8, 2012, registered Nov 10, 2022 (3928 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address