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

W•••••• K••••• N••••••

C•••••••institutionalSanford, Ncdual registrantIAPD 1377772

Feed of 09/14/2026

Also filed as Kel N••••••

At current firm

2 y

since Nov 6, 2023

In the industry

41 y

since Jun 20, 1985 (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

C••••••• institutional current
since Nov 6, 2023 · Sanford, Nc
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Oct 18, 2017 to Oct 31, 2023 · Sanford, Nc
W•••• F•••• A••••••• wirehouse
Oct 16, 2015 to Oct 25, 2017 · Sanford, Nc
W•••• F•••• A••••••• wirehouse
Jun 19, 2002 to Oct 16, 2015 · Sanford, Nc
W••••••• S••••••••• I••• unclassified
Dec 28, 2001 to Jun 20, 2002 · Sanford, Nc

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C•••••••
left Oct 31, 2023, registered Nov 6, 2023 (6 days) · Other · moved with a team
W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Oct 25, 2017, registered Oct 18, 2017 (-7 days) · Other · moved with a team
W•••• F•••• A••••••• to W•••• F•••• A•••••••
left Oct 16, 2015, registered Oct 16, 2015 (0 days) · channel change inside one enterprise, not a move · moved with a team
W••••••• S••••••••• I••• to W•••• F•••• A•••••••
left Jun 20, 2002, registered Jun 19, 2002 (-1 days) · corporate re-registration, not a move

Signals

W•••••• K••••• N•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for Captrust (registered 2023-11-06)
Oct 31, 2023 · 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: Institutional managerderived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address