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

D••••• K•••

J••• M••••• S••••••••• L••wirehouseSummit, Njdual registrantIAPD 5862171

Feed of 09/14/2026

Also filed as D••••• K•••

At current firm

0 y

since Jan 6, 2026

In the industry

11 y

since Sep 17, 2015 (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

J••• M••••• S••••••••• L•• wirehouse current
since Jan 6, 2026 · Summit, Nj
N••••••• A••••••• independent RIA
Nov 15, 2022 to Nov 24, 2025 · Radnor, Pa
M••••• S•••••• wirehouse
Aug 1, 2019 to Dec 9, 2022 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Dec 4, 2015 to Jan 8, 2018 · New York, Ny
C••••• S••••• S••••••••• •••• L•• former
Sep 17, 2015 to Dec 21, 2015 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

N••••••• A••••••• to J••• M••••• S••••••••• L••
left Nov 24, 2025, registered Jan 6, 2026 (43 days) · RIA to wirehouse
M••••• S•••••• to N••••••• A•••••••
left Dec 9, 2022, registered Nov 15, 2022 (-24 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
U•• F•••••••• S••••••• I••• to M••••• S••••••
left Jan 8, 2018, registered Aug 1, 2019 (570 days) · Wirehouse to wirehouse
C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••
left Dec 21, 2015, registered Dec 4, 2015 (-17 days) · corporate re-registration, not a move

Signals

D••••• K••• left N••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2026-01-06)
Nov 24, 2025 · Advisor changed firm · fact
D••••• K••• left M••••• S•••••• for N••••••• A••••••• (registered 2022-11-15)
Dec 9, 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: Wirehousederived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address