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

K••••• D•••••

J••• M••••• S••••••••• L••wirehouseSarasota, Fldual registrantIAPD 6578976

Feed of 09/14/2026

At current firm

2 y

since Oct 5, 2023

In the industry

11 y

since Jun 1, 2015 (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

J••• M••••• S••••••••• L•• wirehouse current
since Oct 5, 2023 · Sarasota, Fl
P•• W••••• M••••••••• BD affiliated
May 8, 2023 to Jul 18, 2023 · Pittsburgh, Pa
F••••••• P••••••• A•• W•••••••• A••••••• former
Oct 5, 2021 to Apr 14, 2023 · Jacksonville, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 10, 2018 to Aug 9, 2021 · Union, Nj
J••• M••••• S••••••••• L•• wirehouse
May 25, 2017 to Jul 26, 2018 · Hamilton Square, Nj
S•••••••• S••••••••• BD affiliated
Mar 23, 2017 to May 12, 2017 · Hazlet, Nj
E•••••••• A•••••••• L•• national BD
Jun 10, 2016 to Nov 8, 2016 · East Brunswick, Nj

Moves

a registration end followed by a registration begin elsewhere

P•• W••••• M••••••••• to J••• M••••• S••••••••• L••
left Jul 18, 2023, registered Oct 5, 2023 (79 days) · Affiliated broker-dealer or bank to wirehouse
F••••••• P••••••• A•• W•••••••• A••••••• to P•• W••••• M•••••••••
left Apr 14, 2023, registered May 8, 2023 (24 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Aug 9, 2021, registered Oct 5, 2021 (57 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 26, 2018, registered Oct 10, 2018 (76 days) · Wirehouse to wirehouse
S•••••••• S••••••••• to J••• M••••• S••••••••• L••
left May 12, 2017, registered May 25, 2017 (13 days) · Other
E•••••••• A•••••••• L•• to S•••••••• S•••••••••
left Nov 8, 2016, registered Mar 23, 2017 (135 days) · Other

Signals

K••••• D••••• left P•• W••••• M••••••••• for J••• M••••• S••••••••• L•• (registered 2023-10-05)
Jul 18, 2023 · Advisor changed firm · fact
K••••• D••••• left F••••••• P••••••• A•• W•••••••• A••••••• for P•• W••••• M••••••••• (registered 2023-05-08)
Apr 14, 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: Wirehousederived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address