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•••• E••••• W•••

A••••••••• F•••••••• S•••••••• L••national BDBellevue, Wa dual registrantIAPD 2266721

Chartered Financial Analyst

Feed of 09/15/2026

Also filed as K•••• W•••

At current firm

6 y

since Dec 12, 2019

In the industry

33 y

since Oct 20, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since Dec 12, 2019 · Bellevue, Wa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 1, 2013 to Dec 16, 2019 · Bellevue, Wa
O••••••••• I••••••••• M••••••••• L•• other
Dec 9, 2005 to Sep 17, 2007 · Bellevue, Wa
O••••••••• A•••• M••••••••• BD affiliated
Oct 24, 2005 to Sep 17, 2007 · Bellevue, Wa
O••••••••• • C•• I••• BD affiliated
Oct 24, 2005 to Sep 17, 2007 · Carmel, In
M•••• C•••••• M••••••••• L••••• unclassified
Feb 28, 2000 to Dec 31, 2002 · Sammamish, Wa

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left Dec 16, 2019, registered Dec 12, 2019 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
O••••••••• A•••• M••••••••• to O••••••••• • C•• I•••
left Sep 17, 2007, registered Oct 24, 2005 (-693 days) · Other
O••••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 17, 2007, registered Apr 1, 2013 (2023 days) · Other
O••••••••• • C•• I••• to O••••••••• I••••••••• M••••••••• L••
left Sep 17, 2007, registered Dec 9, 2005 (-647 days) · Other
M•••• C•••••• M••••••••• L••••• to O••••••••• A•••• M•••••••••
left Dec 31, 2002, registered Oct 24, 2005 (1028 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: National broker-dealer RIAderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address