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

J•••• P•••••

K••••• A••••••• S•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 6265121

Certified Financial Planner

Feed of 09/15/2026

Also filed as J•••• M P•••••

At current firm

1 y

since May 5, 2025

In the industry

12 y

since Nov 1, 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

K••••• A••••••• S•••••••• L•• BD affiliated current
since May 5, 2025 · Maple Grove, Mn
M••••••• N•••• A••••••• former
Nov 13, 2020 to Aug 14, 2025 · Maple Grove, Mn
L•• F•••••••• L•• BD affiliated
Oct 24, 2016 to Mar 9, 2021 · Maple Grove, Mn
W•••••• • R••• former
Jan 6, 2014 to Oct 29, 2016 · Plymouth, Mn

Moves

a registration end followed by a registration begin elsewhere

M••••••• N•••• A••••••• to K••••• A••••••• S•••••••• L••
left Aug 14, 2025, registered May 5, 2025 (-101 days) · RIA to affiliated broker-dealer or bank · moved with a team
L•• F•••••••• L•• to M••••••• N•••• A•••••••
left Mar 9, 2021, registered Nov 13, 2020 (-116 days) · Affiliated broker-dealer or bank to a newly registered adviser
W•••••• • R••• to L•• F•••••••• L••
left Oct 29, 2016, registered Oct 24, 2016 (-5 days) · Other

Signals

J•••• P••••• left M••••••• N•••• A••••••• for K••••• A••••••• S•••••••• L•• (registered 2025-05-05)
Aug 14, 2025 · 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