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

N••• A••• K••••••

S•••••• S••••••••• I•••BD affiliatedBirmingham, Al dual registrantIAPD 5798541

Feed of 09/15/2026

Also filed as N••• K••••••

At current firm

1 y

since Jun 5, 2025

In the industry

16 y

since Jul 23, 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

S•••••• S••••••••• I••• BD affiliated current
since Jun 5, 2025 · Birmingham, Al
W•••• F•••• A••••••• wirehouse
Dec 1, 2021 to Jan 30, 2024 · Birmingham, Al
P•• M•••••• A•••••• S••••••••• I••• former
Apr 5, 2017 to Jun 2, 2021 · Birmingham, Al
P•••••••• S••••••••• I••• BD affiliated
Jun 1, 2012 to Mar 31, 2017 · Birmingham, Al
N•• E•••••• S••••••••• C••••••••• former
Apr 2, 2012 to May 4, 2012 · Birmingham, Al
E••••• J•••• national BD
Jul 26, 2010 to Aug 30, 2011 · Fultondale, Al

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to S•••••• S••••••••• I•••
left Jan 30, 2024, registered Jun 5, 2025 (492 days) · Wirehouse to independent RIA
P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••
left Jun 2, 2021, registered Dec 1, 2021 (182 days) · Affiliated broker-dealer or bank to wirehouse
P•••••••• S••••••••• I••• to P•• M•••••• A•••••• S••••••••• I•••
left Mar 31, 2017, registered Apr 5, 2017 (5 days) · Other
N•• E•••••• S••••••••• C••••••••• to P•••••••• S••••••••• I•••
left May 4, 2012, registered Jun 1, 2012 (28 days) · Other
E••••• J•••• to N•• E•••••• S••••••••• C•••••••••
left Aug 30, 2011, registered Apr 2, 2012 (216 days) · Other

Signals

N••• A••• K•••••• left W•••• F•••• A••••••• for S•••••• S••••••••• I••• (registered 2025-06-05)
Jan 30, 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