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

K•••• F•••••• C••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedSt Helena, Ca dual registrantIAPD 1236296

Certified Financial Planner

Feed of 09/15/2026

At current firm

4 y

since Apr 4, 2022

In the industry

42 y

since Jun 1, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Apr 4, 2022 · Reno, Nv
N••• V••••• W••••• M••••••••• former
Feb 25, 2022 to Jun 17, 2022 · St. Helena, Ca
T••••••• I••••••••• A•••••••• I••• former
Feb 25, 2022 to Jun 17, 2022 · El Cerrito, Ca
T••••••• I••••••••• A•••••••• I••• former
Jan 17, 2017 to Dec 31, 2021 · El Cerrito, Ca
N••• V••••• W••••• M••••••••• former
Jul 21, 2008 to Dec 31, 2021 · St. Helena, Ca
C••••• A•••••• N••••••• L•• former
May 19, 2008 to Oct 20, 2016 · El Segundo, Ca
A••••••••• P••••••• I••••••••• A••••••• I•• unclassified
Apr 14, 2003 to May 15, 2008 · Pleasant Hill, Ca

Moves

a registration end followed by a registration begin elsewhere

N••• V••••• W••••• M••••••••• to W••••• E••••••••• A••••••• S•••••••• L••
left Jun 17, 2022, registered Apr 4, 2022 (-74 days) · RIA to affiliated broker-dealer or bank
T••••••• I••••••••• A•••••••• I••• to N••• V••••• W••••• M•••••••••
left Jun 17, 2022, registered Feb 25, 2022 (-112 days) · Other
N••• V••••• W••••• M••••••••• to T••••••• I••••••••• A•••••••• I•••
left Dec 31, 2021, registered Jan 17, 2017 (-1809 days) · Other
C••••• A•••••• N••••••• L•• to N••• V••••• W••••• M•••••••••
left Oct 20, 2016, registered Jul 21, 2008 (-3013 days) · Other · moved with a team
A••••••••• P••••••• I••••••••• A••••••• I•• to C••••• A•••••• N••••••• L••
left May 15, 2008, registered May 19, 2008 (4 days) · Other

Signals

K•••• F•••••• C•••• left N••• V••••• W••••• M••••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-04-04)
Jun 17, 2022 · a•••••• firm change · fact
K•••• F•••••• C•••• left T••••••• I••••••••• A•••••••• I••• for N••• V••••• W••••• M••••••••• (registered 2022-02-25)
Jun 17, 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: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address