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

C••••• L••• K••••••

G•••••••• W••••• P•••••••BD affiliatedPalm Beach Gardens, Fl dual registrantIAPD 2237386

Feed of 09/15/2026

Also filed as C••••• L K••••••

At current firm

4 y

since Mar 2, 2022

In the industry

32 y

since Oct 5, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

G•••••••• W••••• P••••••• BD affiliated current
since Mar 2, 2022 · Palm Beach Gardens, Fl
S••••••••• A•••••• G••••• L•• former
Jan 3, 2017 to Mar 31, 2022 · Omaha, Ne
W••••••••• P••••••• former
Apr 22, 2015 to May 1, 2017 · Omaha, Ne
W•••••• • R••• former
Jan 9, 2009 to Apr 27, 2015 · Omaha, Ne
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 26, 2003 to Jun 9, 2008 · Bellevue, Ne

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• G••••• L•• to G•••••••• W••••• P•••••••
left Mar 31, 2022, registered Mar 2, 2022 (-29 days) · RIA to RIA · moved with a team
W••••••••• P••••••• to S••••••••• A•••••• G••••• L••
left May 1, 2017, registered Jan 3, 2017 (-118 days) · Other · moved with a team
W•••••• • R••• to W••••••••• P•••••••
left Apr 27, 2015, registered Apr 22, 2015 (-5 days) · Other · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to W•••••• • R•••
left Jun 9, 2008, registered Jan 9, 2009 (214 days) · Other

Signals

C••••• L••• K•••••• left S••••••••• A•••••• G••••• L•• for G•••••••• W••••• P••••••• (registered 2022-03-02)
Mar 31, 2022 · a•••••• firm change · 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