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RIA Intelligence
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Registered advisor
G••••• W•••••• K••••
Feed of 09/14/2026
At current firm
3 y
since Feb 3, 2023
In the industry
22 y
since May 13, 2004 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Feb 3, 2023 · Southington, Ct
- S••••••••• A•••••• A•••••••• I••• formerNov 1, 2017 to Feb 2, 2023 · Southington, Ct
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerNov 28, 2006 to Nov 9, 2017 · South Windsor, Ct
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Feb 2, 2023, registered Feb 3, 2023 (1 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Nov 9, 2017, registered Nov 1, 2017 (-8 days) · Other · moved with a team
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address