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

T•••••• J•••• K••••••

P•••• L••• F••••••••state registeredCincinnati, OhIA-onlyIAPD 6166067

Certified Financial Planner

Feed of 09/14/2026

Also filed as T•••••• J K••••••

At current firm

1 y

since Sep 12, 2025

In the industry

13 y

since May 31, 2013 (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

P•••• L••• F•••••••• state registered current
since Sep 12, 2025 · Cincinnati, Oh
J•••••• A••••••• G••••• L•• independent RIA
Sep 21, 2022 to Apr 10, 2025 · Blue Ash, Oh
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 3, 2020 to Sep 20, 2022 · Crestview Hills, Ky
U••• B•••••• I••••••••• I••• former
Jun 8, 2018 to Dec 19, 2019 · Cincinnati, Oh
W•••• F•••• A••••••• wirehouse
Jan 2, 2015 to May 8, 2018 · Cincinnati, Oh
M••••• S•••••• wirehouse
Jun 3, 2013 to Nov 19, 2014 · Cincinnati, Oh

Moves

a registration end followed by a registration begin elsewhere

J•••••• A••••••• G••••• L•• to P•••• L••• F••••••••
left Apr 10, 2025, registered Sep 12, 2025 (155 days) · RIA to a state-registered adviser
A••••••••• F•••••••• S•••••••• L•• to J•••••• A••••••• G••••• L••
left Sep 20, 2022, registered Sep 21, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA
U••• B•••••• I••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Dec 19, 2019, registered Apr 3, 2020 (106 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••
left May 8, 2018, registered Jun 8, 2018 (31 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to W•••• F•••• A•••••••
left Nov 19, 2014, registered Jan 2, 2015 (44 days) · Wirehouse to wirehouse

Signals

T•••••• J•••• K•••••• left J•••••• A••••••• G••••• L•• for P•••• L••• F•••••••• (registered 2025-09-12)
Apr 10, 2025 · Advisor changed firm · fact
T•••••• J•••• K•••••• left A••••••••• F•••••••• S•••••••• L•• for J•••••• A••••••• G••••• L•• (registered 2022-09-21)
Sep 20, 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: STATE REGISTEREDderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address