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••••• D•••• K••••••

A••••••••• F•••••••• S•••••••• L••national BDKnoxville, Tndual registrantIAPD 6512130

Certified Financial Planner

Feed of 09/14/2026

Also filed as Joshua D Klinger

At current firm

1 y

since Sep 19, 2025

In the industry

10 y

since Mar 22, 2016 (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

A••••••••• F•••••••• S•••••••• L•• national BD current
since Sep 19, 2025 · Knoxville, Tn
L•• F•••••••• L•• BD affiliated
Jun 6, 2025 to Sep 22, 2025 · Knoxville, Tn
T••••• L•• independent RIA
Apr 9, 2019 to Oct 21, 2025 · Knoxville, Tn
R•••••• J•••• • A••••••••• I••• national BD
Sep 14, 2017 to Mar 29, 2019 · Knoxville, Tn
M••••• S•••••• wirehouse
Jun 23, 2016 to Sep 5, 2017 · Knoxville, Tn
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Mar 29, 2016 to May 18, 2016 · Knoxville, Tn

Moves

a registration end followed by a registration begin elsewhere

T••••• L•• to L•• F•••••••• L••
left Oct 21, 2025, registered Jun 6, 2025 (-137 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Sep 22, 2025, registered Sep 19, 2025 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
R•••••• J•••• • A••••••••• I••• to T••••• L••
left Mar 29, 2019, registered Apr 9, 2019 (11 days) · Affiliated broker-dealer or bank to independent RIA
M••••• S•••••• to R•••••• J•••• • A••••••••• I•••
left Sep 5, 2017, registered Sep 14, 2017 (9 days) · Wirehouse to affiliated broker-dealer or bank
N••••••••• M••••• I••••••••• S••••••••• to M••••• S••••••
left May 18, 2016, registered Jun 23, 2016 (36 days) · Other

Signals

J••••• D•••• K•••••• left T••••• L•• for L•• F•••••••• L•• (registered 2025-06-06)
Oct 21, 2025 · Advisor changed firm · fact
J••••• D•••• K•••••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-09-19)
Sep 22, 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: National broker-dealer RIAderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address