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

N•••••••• K••••••

E••••• J••••national BDGainesville, Va dual registrantIAPD 7320070

Feed of 09/15/2026

Also filed as Naina Kaushal

At current firm

1 y

since Feb 14, 2025

In the industry

16 y

since Aug 1, 2010 (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

E••••• J•••• national BD current
since Feb 14, 2025 · Gainesville, Va
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 11, 2024 to Feb 6, 2025 · Vienna, Va
F••••••• P••••••• A•• W•••••••• A••••••• former
Jan 11, 2023 to Dec 5, 2024 · Rockville, Md
C•••••• S••••• • C••• I••• national BD
Mar 30, 2022 to Oct 24, 2022 · Bethesda, Md
M••••• S•••••• wirehouse
Apr 30, 2021 to Feb 24, 2022 · Mclean, Va

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left Feb 6, 2025, registered Feb 14, 2025 (8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
F••••••• P••••••• A•• W•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 5, 2024, registered Dec 11, 2024 (6 days) · Affiliated broker-dealer or bank to wirehouse
C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Oct 24, 2022, registered Jan 11, 2023 (79 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to C•••••• S••••• • C••• I•••
left Feb 24, 2022, registered Mar 30, 2022 (34 days) · Wirehouse to affiliated broker-dealer or bank

Signals

N•••••••• K•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E••••• J•••• (registered 2025-02-14)
Feb 6, 2025 · Advisor changed firm · fact
N•••••••• K•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-12-11)
Dec 5, 2024 · Advisor changed firm · fact
N•••••••• K•••••• left C•••••• S••••• • C••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-01-11)
Oct 24, 2022 · Advisor changed firm · fact
N•••••••• K•••••• left M••••• S•••••• for C•••••• S••••• • C••• I••• (registered 2022-03-30)
Feb 24, 2022 · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address