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.

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Registered advisor

D•••••• J••••• K••••

M••••••BD affiliatedSeminole, Fl IA-onlyIAPD 5766196

Feed of 09/15/2026

Also filed as D•••••• J••••• K••••

At current firm

1 y

since Nov 13, 2024

In the industry

16 y

since Feb 1, 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

M•••••• BD affiliated current
since Nov 13, 2024 · Overland Park, Ks
F••••• I••••••••• independent RIA
Sep 22, 2021 to Apr 9, 2024 · Tampa, Fl
P•••• S••••••••• L•• no RAUM
Jul 23, 2019 to Sep 16, 2021 · Tampa, Fl
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
May 23, 2011 to Jul 11, 2019 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to M••••••
left Apr 9, 2024, registered Nov 13, 2024 (218 days) · RIA to affiliated broker-dealer or bank
P•••• S••••••••• L•• to F••••• I•••••••••
left Sep 16, 2021, registered Sep 22, 2021 (6 days) · Affiliated broker-dealer or bank to independent RIA
T• R••• P•••• A••••••• S•••••••• I••• to P•••• S••••••••• L••
left Jul 11, 2019, registered Jul 23, 2019 (12 days) · RIA to affiliated broker-dealer or bank · moved with a team

Signals

D•••••• J••••• K•••• left F••••• I••••••••• for Mariner (registered 2024-11-13)
Apr 9, 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