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

E••• J••• K••••••

K•••••• F••••••••state registeredPhoenix, Az dual registrantIAPD 5808106

Certified Financial Planner

Feed of 09/15/2026

At current firm

4 y

since Mar 17, 2022

In the industry

16 y

since May 1, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Jul 2, 2024 · Phoenix, Az
K•••••• F•••••••• state registered current
since Mar 17, 2022 · Phoenix, Az
O•••• W•••••• I••• BD affiliated
Sep 1, 2023 to Jul 5, 2024 · Tempe, Az
S•••••••• F••••••••• I••• former
Apr 17, 2018 to Sep 1, 2023 · Tempe, Az
L•• F•••••••• L•• BD affiliated
Nov 29, 2017 to Apr 24, 2018 · Phoenix, Az
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Jun 26, 2017 to Nov 29, 2017 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to C••••••••• F•••••••• N••••••
left Jul 5, 2024, registered Jul 2, 2024 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
S•••••••• F••••••••• I••• to K•••••• F••••••••
left Sep 1, 2023, registered Mar 17, 2022 (-533 days) · Affiliated broker-dealer or bank to a state-registered adviser
L•• F•••••••• L•• to S•••••••• F••••••••• I•••
left Apr 24, 2018, registered Apr 17, 2018 (-7 days) · RIA to affiliated broker-dealer or bank · moved with a team
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••
left Nov 29, 2017, registered Nov 29, 2017 (0 days) · Other · moved with a team

Signals

E••• J••• K•••••• left O•••• W•••••• I••• for C••••••••• F•••••••• N•••••• (registered 2024-07-02)
Jul 5, 2024 · Advisor changed firm · fact
E••• J••• K•••••• left S•••••••• F••••••••• I••• for K•••••• F•••••••• (registered 2022-03-17)
Sep 1, 2023 · 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: STATE REGISTEREDderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address