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

E•••••••• C•••••••• N•••••

K•••••••• W••••• A•••••••• L••BD affiliatedWest Palm Beach, Fl dual registrantIAPD 2082556

Feed of 09/15/2026

Also filed as Lisa N•••••

At current firm

3 y

since Nov 28, 2022

In the industry

32 y

since Oct 12, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K•••••••• W••••• A•••••••• L•• BD affiliated current
since Nov 28, 2022 · West Palm Beach, Fl
C••••••• • C••• I••• former
Apr 29, 2011 to Nov 30, 2022 · West Palm Beach, Fl
N••••• C•••••• M••••••••• I••• unclassified
Mar 7, 2011 to Sep 24, 2024 · Sussex, Nj

Moves

a registration end followed by a registration begin elsewhere

N••••• C•••••• M••••••••• I••• to C••••••• • C••• I•••
left Sep 24, 2024, registered Apr 29, 2011 (-4897 days) · Other
C••••••• • C••• I••• to K•••••••• W••••• A•••••••• L••
left Nov 30, 2022, registered Nov 28, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA

Signals

E•••••••• C•••••••• N••••• left N••••• C•••••• M••••••••• I••• for C••••••• • C••• I••• (registered 2011-04-29)
Sep 24, 2024 · Advisor changed firm · fact
E•••••••• C•••••••• N••••• left C••••••• • C••• I••• for K•••••••• W••••• A•••••••• L•• (registered 2022-11-28)
Nov 30, 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address