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

C••••••••• J••• K••••

F•••• C••••••• I••••••• S•••••••• I•••BD affiliatedLancaster, Sc dual registrantIAPD 6215860

Feed of 09/15/2026

Also filed as C••••••••• J••• K••••

At current firm

1 y

since Oct 4, 2024

In the industry

12 y

since Jun 1, 2014 (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

F•••• C••••••• I••••••• S•••••••• I••• BD affiliated current
since Oct 4, 2024 · Raleigh, Nc
L•• F•••••••• L•• BD affiliated
May 19, 2023 to Oct 10, 2024 · Fort Mill, Sc
M•• I•••••••• S•••••••• L•• BD affiliated
May 19, 2021 to Feb 22, 2023 · Charlotte, Nc
B•••••••• A••••••• S•••••••• L•• no RAUM
Sep 8, 2020 to Apr 28, 2021 · San Diego, Ca
P•• W••••• M••••••••• BD affiliated
Oct 20, 2016 to Mar 27, 2019 · Pittsburgh, Pa

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to F•••• C••••••• I••••••• S•••••••• I•••
left Oct 10, 2024, registered Oct 4, 2024 (-6 days) · Affiliated broker-dealer or bank to another
M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••
left Feb 22, 2023, registered May 19, 2023 (86 days) · Affiliated broker-dealer or bank to another
B•••••••• A••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••
left Apr 28, 2021, registered May 19, 2021 (21 days) · RIA to affiliated broker-dealer or bank
P•• W••••• M••••••••• to B•••••••• A••••••• S•••••••• L••
left Mar 27, 2019, registered Sep 8, 2020 (531 days) · Affiliated broker-dealer or bank to independent RIA

Signals

C••••••••• J••• K•••• left L•• F•••••••• L•• for F•••• C••••••• I••••••• S•••••••• I••• (registered 2024-10-04)
Oct 10, 2024 · Advisor changed firm · fact
C••••••••• J••• K•••• left M•• I•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-05-19)
Feb 22, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address