DFX Intelligence
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Registered advisor
D•••• K••• W•••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
2 y
since Jun 14, 2024
In the industry
33 y
since Feb 22, 1993 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Sparks, Nv
- S••••••••• A•••••• A•••••••• I••• formerSep 15, 2017 to Jun 14, 2024 · Reno, Nv
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 9, 2012 to Sep 19, 2017 · El Segundo, Ca
- L•• F•••••••• L•• BD affiliatedOct 4, 2011 to Oct 12, 2012 · Sacramento, Ca
- S••••••••• A•••••• A•••••••• I••• formerOct 11, 2008 to Oct 4, 2011 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Sep 19, 2017, registered Sep 15, 2017 (-4 days) · Other · moved with a team
- L•• F•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Oct 12, 2012, registered Oct 9, 2012 (-3 days) · Other
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Oct 4, 2011, registered Oct 4, 2011 (0 days) · Other
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address