DFX Intelligence
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Registered advisor
D••••• W•••••• K••••••
Feed of 09/14/2026
Also filed as D•• K••••••
At current firm
4 y
since Nov 17, 2021
In the industry
33 y
since Nov 6, 1992 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- H•••••• T••••••• • K•••• L•• independent RIA currentsince Nov 17, 2021 · Erie, Pa
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMay 2, 2003 to Sep 16, 2011 · Glastonbury, Ct
- N••••• • L•••• S••••••••• I••• unclassifiedAug 7, 2002 to May 14, 2003 · Marlborough, Ct
- L••••••• B••••••••• S••••••••• C•••• unclassifiedApr 2, 2001 to Jul 9, 2002 · Marlborough, Ct
Moves
a registration end followed by a registration begin elsewhere
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to H•••••• T••••••• • K•••• L••left Sep 16, 2011, registered Nov 17, 2021 (3715 days) · Other
- N••••• • L•••• S••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left May 14, 2003, registered May 2, 2003 (-12 days) · Other
- L••••••• B••••••••• S••••••••• C•••• to N••••• • L•••• S••••••••• I•••left Jul 9, 2002, registered Aug 7, 2002 (29 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address