DFX Intelligence
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Registered advisor
W•••• E•••• P•••••••••
Feed of 09/14/2026
Also filed as W•••• E•••• P•••••
At current firm
14 y
since Mar 9, 2012
In the industry
30 y
since Jul 3, 1996 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- P••••• • B••••• C•••••• A•••••••• L•• independent RIA currentsince Mar 9, 2012 · Santa Rosa, Ca
- P••••• • K••• C•••••• M••••••••• L•• formerFeb 13, 2012 to Mar 15, 2012 · San Francisco, Ca
- P••••• • K••• C•••••• M••••••••• L•• formerMar 10, 1999 to Dec 31, 2010 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- P••••• • K••• C•••••• M••••••••• L•• to P••••• • B••••• C•••••• A•••••••• L••left Mar 15, 2012, registered Mar 9, 2012 (-6 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address