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•••••• W•••• C•••••

S•••••• C•••••• A••••••• L••BD affiliatedGolden, Co dual registrantIAPD 1710292

Chartered Financial Consultant

Feed of 09/15/2026

Also filed as Corky C•••••

At current firm

2 y

since Nov 28, 2023

In the industry

33 y

since Mar 2, 1993 (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

S•••••• C•••••• A••••••• L•• BD affiliated current
since Nov 28, 2023 · New York, Ny
C•••••••• A•••••••• L•• independent RIA
Oct 27, 2023 to Nov 28, 2023 · Bellevue, Id
C•••••••• A•••••••• L•• independent RIA
Oct 4, 2016 to Oct 27, 2023 · Bellevue, Id
S••••••• I••••••••• I••• former
May 13, 2016 to Nov 17, 2017 · Pleasanton, Ca
W••••• M••••••••• A•••••••• L•• unclassified
May 15, 2013 to Nov 21, 2016 · Bellevue, Id
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Jan 26, 2010 to May 13, 2016 · Redmond, Wa

Moves

a registration end followed by a registration begin elsewhere

C•••••••• A•••••••• L•• to S•••••• C•••••• A••••••• L••
left Nov 28, 2023, registered Nov 28, 2023 (0 days) · RIA to affiliated broker-dealer or bank
S••••••• I••••••••• I••• to C•••••••• A•••••••• L••
left Nov 17, 2017, registered Oct 4, 2016 (-409 days) · Other
W••••• M••••••••• A•••••••• L•• to S••••••• I••••••••• I•••
left Nov 21, 2016, registered May 13, 2016 (-192 days) · Other
T••••••••• F•••••••• A•••••••• L•• to W••••• M••••••••• A•••••••• L••
left May 13, 2016, registered May 15, 2013 (-1094 days) · Other

Signals

W•••••• W•••• C••••• left C•••••••• A•••••••• L•• for S•••••• C•••••• A••••••• L•• (registered 2023-11-28)
Nov 28, 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: 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