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••••

C••••••• P•••••••independent RIADelafield, Wi IA-onlyIAPD 817643

Chartered Financial Consultant

Feed of 09/15/2026

At current firm

1 y

since Dec 20, 2024

In the industry

34 y

since May 4, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••• P••••••• independent RIA current
since Dec 20, 2024 · Tempe, Az
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Aug 11, 2009 to Oct 12, 2020 · Waukesha, Wi
K•••• I••••••••• G••••• L•• former
Feb 1, 2007 to Dec 31, 2024 · Waukesha, Wi
S•••••••• F••••••••• I••• former
Oct 31, 2005 to Aug 12, 2009 · Waukesha, Wi
S••••••••• S••••••••• I••• unclassified
Sep 5, 2003 to Oct 31, 2005 · Elm Grove, Wi

Moves

a registration end followed by a registration begin elsewhere

K•••• I••••••••• G••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Dec 31, 2024, registered Aug 11, 2009 (-5621 days) · Other
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••• P•••••••
left Oct 12, 2020, registered Dec 20, 2024 (1530 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
S•••••••• F••••••••• I••• to K•••• I••••••••• G••••• L••
left Aug 12, 2009, registered Feb 1, 2007 (-923 days) · Other
S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••
left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move

Signals

J•••••• D•••• K•••• left K•••• I••••••••• G••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2009-08-11)
Dec 31, 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: Independent wealth managerderived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address