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••• K••• W••••••••

L•• F•••••••• L••BD affiliatedDuncan, Okdual registrantIAPD 1081951

Feed of 09/14/2026

Also filed as K••• W••••••••

At current firm

2 y

since Oct 16, 2023

In the industry

43 y

since Dec 10, 1982 (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

L•• F•••••••• L•• BD affiliated current
since Oct 16, 2023 · Duncan, Ok
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Oct 23, 2023 · Addison, Tx
C••••• A•••••• N••••••• L•• former
Apr 20, 2022 to Jun 29, 2023 · Duncan, Ok
F•••• F•••••••• E••••• C••••••••• former
Nov 17, 2020 to Apr 20, 2022 · Duncan, Ok
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jan 2, 2009 to Dec 8, 2020 · Duncan, Ok
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Jan 24, 2007 to Jan 2, 2009 · Duncan, Ok
I••••••••• C•••••• O• A••••••• I••• former
Sep 12, 2000 to Jan 23, 2007 · Duncan, Ok

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left Oct 23, 2023, registered Oct 16, 2023 (-7 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
F•••• F•••••••• E••••• C••••••••• to C••••• A•••••• N••••••• L••
left Apr 20, 2022, registered Apr 20, 2022 (0 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to F•••• F•••••••• E••••• C•••••••••
left Dec 8, 2020, registered Nov 17, 2020 (-21 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
I••••••••• C•••••• O• A••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••
left Jan 23, 2007, registered Jan 24, 2007 (1 days) · Other

Signals

J••• K••• W•••••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2023-10-16)
Oct 23, 2023 · a•••••• firm change · fact
J••• K••• W•••••••• left F•••• F•••••••• E••••• C••••••••• for C••••• A•••••• N••••••• L•• (registered 2022-04-20)
Apr 20, 2022 · a•••••• firm change · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 43derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address