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.
Registered advisor
David Brad Kauffman
Certified Financial Planner
Feed of 09/14/2026
At current firm
5 y
since Apr 19, 2021
In the industry
34 y
since Jan 10, 1992 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cw Advisors, LLC independent RIA currentsince Apr 19, 2021 · Boston, Ma
- Pinnacle Advisory Group, Inc. formerFeb 2, 2007 to May 17, 2021 · Columbia, Md
- Ferris, Baker Watts, LLC unclassifiedJun 2, 2003 to Jan 30, 2007 · Rockville, Md
- Morgan Stanley Dw Inc. unclassifiedNov 20, 2002 to Jun 10, 2003 · Washington, Dc
- Capital Investment Advisors independent RIAJan 2, 2000 to Jun 5, 2003 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- Pinnacle Advisory Group, Inc. to Cw Advisors, LLCleft May 17, 2021, registered Apr 19, 2021 (-28 days) · RIA to RIA · moved with a team
- Ferris, Baker Watts, LLC to Pinnacle Advisory Group, Inc.left Jan 30, 2007, registered Feb 2, 2007 (3 days) · Other
- Morgan Stanley Dw Inc. to Ferris, Baker Watts, LLCleft Jun 10, 2003, registered Jun 2, 2003 (-8 days) · Other
- Capital Investment Advisors to Morgan Stanley Dw Inc.left Jun 5, 2003, registered Nov 20, 2002 (-197 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address