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

K•••••• I• W••••••••

L•• F•••••••• L••BD affiliatedYonkers, Ny dual registrantIAPD 1938218

Feed of 09/14/2026

Also filed as K•••••• I• W••••••••

At current firm

1 y

since Jun 9, 2025

In the industry

17 y

since Apr 14, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jun 9, 2025 · Yonkers, Ny
K•• I••••••••• S••••••• L•• BD affiliated
Aug 2, 2022 to Jun 10, 2025 · Brooklyn, Oh
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 28, 2020 to Aug 1, 2022 · Pearl River, Ny
C••• B•••••••• S•••••••• I••• former
Apr 24, 2018 to Jan 7, 2020 · Waverly, Ia
C•••• I••••••••• S••••••• C•••• former
Aug 11, 2010 to Jul 12, 2012 · Middletown, Ny
E••••• J•••• national BD
Apr 14, 2009 to May 7, 2010 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

K•• I••••••••• S••••••• L•• to L•• F•••••••• L••
left Jun 10, 2025, registered Jun 9, 2025 (-1 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to K•• I••••••••• S••••••• L••
left Aug 1, 2022, registered Aug 2, 2022 (1 days) · Affiliated broker-dealer or bank to another
C••• B•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••
left Jan 7, 2020, registered Jan 28, 2020 (21 days) · Affiliated broker-dealer or bank to another
C•••• I••••••••• S••••••• C•••• to C••• B•••••••• S•••••••• I•••
left Jul 12, 2012, registered Apr 24, 2018 (2112 days) · Other
E••••• J•••• to C•••• I••••••••• S••••••• C••••
left May 7, 2010, registered Aug 11, 2010 (96 days) · Other

Signals

K•••••• I• W•••••••• left K•• I••••••••• S••••••• L•• for L•• F•••••••• L•• (registered 2025-06-09)
Jun 10, 2025 · Advisor changed firm · fact
K•••••• I• W•••••••• left C••••• I••••••••• A••••••• L•• for K•• I••••••••• S••••••• L•• (registered 2022-08-02)
Aug 1, 2022 · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address