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••••• K•••••• T•••••••

L••••• W••••• M•••••••••state registeredWaukesha, WiIA-onlyIAPD 6419307

Feed of 09/14/2026

At current firm

0 y

since Oct 10, 2025

In the industry

11 y

since Nov 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

L••••• W••••• M••••••••• state registered current
since Oct 10, 2025 · Waukesha, Wi
N••••••••• A•••• M••••••••• L•• independent RIA
Jan 6, 2025 to Oct 15, 2025 · Milwaukee, Wi
N••••••••• A•••• M••••••••• L•• independent RIA
May 3, 2024 to Dec 31, 2024 · Milwaukee, Wi
S•••••••• W••••• P••••••• former
Jul 26, 2019 to May 6, 2024 · Milwaukee, Wi
F•••• A••••• A••••••• S•••••••• I••• former
Mar 17, 2015 to Jul 1, 2019 · Wauwatosa, Wi

Moves

a registration end followed by a registration begin elsewhere

N••••••••• A•••• M••••••••• L•• to L••••• W••••• M•••••••••
left Oct 15, 2025, registered Oct 10, 2025 (-5 days) · RIA to a state-registered adviser
S•••••••• W••••• P••••••• to N••••••••• A•••• M••••••••• L••
left May 6, 2024, registered May 3, 2024 (-3 days) · RIA to RIA · moved with a team
F•••• A••••• A••••••• S•••••••• I••• to S•••••••• W••••• P•••••••
left Jul 1, 2019, registered Jul 26, 2019 (25 days) · Affiliated broker-dealer or bank to independent RIA

Signals

J••••• K•••••• T••••••• left N••••••••• A•••• M••••••••• L•• for L••••• W••••• M••••••••• (registered 2025-10-10)
Oct 15, 2025 · Advisor changed firm · fact
J••••• K•••••• T••••••• left S•••••••• W••••• P••••••• for N••••••••• A•••• M••••••••• L•• (registered 2024-05-03)
May 6, 2024 · 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address