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

C••• K•••••

R•••••• J•••• • A••••••••• I•••national BDSt. Petersburg, Fldual registrantIAPD 7522705

Feed of 09/14/2026

Also filed as C••• K•••••

At current firm

0 y

since Feb 5, 2026

In the industry

18 y

since Aug 1, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• • A••••••••• I••• national BD current
since Feb 5, 2026 · St. Petersburg, Fl
F••••• I••••••••• independent RIA
Apr 11, 2024 to Oct 7, 2024 · Tampa, Fl
M••••• S•••••• wirehouse
Nov 22, 2022 to Jan 30, 2024 · Tampa, Fl
P••••••• C•••••• A••••••• C••••••••• former
Jul 5, 2022 to Aug 30, 2022 · Greenwood Village, Co

Moves

a registration end followed by a registration begin elsewhere

F••••• I••••••••• to R•••••• J•••• • A••••••••• I•••
left Oct 7, 2024, registered Feb 5, 2026 (486 days) · RIA to affiliated broker-dealer or bank
M••••• S•••••• to F••••• I•••••••••
left Jan 30, 2024, registered Apr 11, 2024 (72 days) · Wirehouse to independent RIA
P••••••• C•••••• A••••••• C••••••••• to M••••• S••••••
left Aug 30, 2022, registered Nov 22, 2022 (84 days) · RIA to wirehouse

Signals

C••• K••••• no longer holds an investment adviser registration (last listed at R•••••• J•••• • A••••••••• I••• on the 2026-09-14 feed)
Sep 14, 2026 · Advisor registration ended · derived
C••• K••••• left F••••• I••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2026-02-05)
Oct 7, 2024 · Advisor changed firm · fact
C••• K••••• left M••••• S•••••• for F••••• I••••••••• (registered 2024-04-11)
Jan 30, 2024 · Advisor changed firm · fact
C••• K••••• left P••••••• C•••••• A••••••• C••••••••• for M••••• S•••••• (registered 2022-11-22)
Aug 30, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address