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

K•••• A•• J••••••

R•• C•••••• M••••••• L••national BDBrookfield, Wi dual registrantIAPD 5845486

Feed of 09/15/2026

Also filed as K•••• Gustafson

At current firm

3 y

since Aug 1, 2023

In the industry

15 y

since Jan 24, 2011 (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•• C•••••• M••••••• L•• national BD current
since Aug 1, 2023 · Appleton, Wi
M••••• S•••••• wirehouse
Mar 9, 2022 to Aug 23, 2023 · Waukesha, Wi
R••••• W• B•••• • C•• I••••••••• mixed wealth
Apr 6, 2016 to Mar 11, 2022 · Milwaukee, Wi
U•• F•••••••• S••••••• I••• wirehouse
Jan 25, 2011 to Mar 28, 2016 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to R•• C•••••• M••••••• L••
left Aug 23, 2023, registered Aug 1, 2023 (-22 days) · Wirehouse to affiliated broker-dealer or bank
R••••• W• B•••• • C•• I••••••••• to M••••• S••••••
left Mar 11, 2022, registered Mar 9, 2022 (-2 days) · RIA to wirehouse
U•• F•••••••• S••••••• I••• to R••••• W• B•••• • C•• I•••••••••
left Mar 28, 2016, registered Apr 6, 2016 (9 days) · Other

Signals

K•••• A•• J•••••• left M••••• S•••••• for R•• C•••••• M••••••• L•• (registered 2023-08-01)
Aug 23, 2023 · Advisor changed firm · fact
K•••• A•• J•••••• left R••••• W• B•••• • C•• I••••••••• for M••••• S•••••• (registered 2022-03-09)
Mar 11, 2022 · 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: National broker-dealer RIAderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address