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

J•••• K•••••• D•••

K••••• A••••••• S•••••••• L••BD affiliatedDanville, Ca dual registrantIAPD 6000426

Feed of 09/15/2026

At current firm

9 y

since Dec 19, 2016

In the industry

14 y

since Feb 24, 2012 (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

K••••• A••••••• S•••••••• L•• BD affiliated current
since Dec 19, 2016 · Austin, Tx
L•• F•••••••• L•• BD affiliated
Nov 1, 2016 to Jan 5, 2017 · Petaluma, Ca
G••••• S•••• W••••• M••••••••• L•• independent RIA
Mar 7, 2016 to Jan 9, 2017 · Petaluma, Ca
W•••• F•••• A••••••• wirehouse
Dec 10, 2013 to Mar 11, 2016 · Petaluma, Ca
E••••• J•••• national BD
Feb 28, 2012 to Dec 12, 2013 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

G••••• S•••• W••••• M••••••••• L•• to L•• F•••••••• L••
left Jan 9, 2017, registered Nov 1, 2016 (-69 days) · Other
L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••
left Jan 5, 2017, registered Dec 19, 2016 (-17 days) · Other
W•••• F•••• A••••••• to G••••• S•••• W••••• M••••••••• L••
left Mar 11, 2016, registered Mar 7, 2016 (-4 days) · Other
E••••• J•••• to W•••• F•••• A•••••••
left Dec 12, 2013, registered Dec 10, 2013 (-2 days) · Affiliated broker-dealer or bank to wirehouse

Signals

No dated event on this person.

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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address