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

W•••••• M•••••• K•••••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedConcord, Nh dual registrantIAPD 2508068

Feed of 09/15/2026

Also filed as W•••••• M K•••••••••

At current firm

4 y

since Jul 5, 2022

In the industry

32 y

since Aug 25, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Jul 5, 2022 · Concord, Nh
O•••• F•• I••• former
Dec 14, 2006 to Dec 31, 2017 · Concord, Nh
G••••• W••••• M••••••••• I••• BD affiliated
Aug 29, 2003 to Dec 4, 2006 · Salem, Nh
R•• A•••• M••••••••• unclassified
Mar 18, 2002 to Dec 15, 2006 · Salem, Nh
C••••• A••••••• L•• former
Feb 19, 2002 to Jun 6, 2003 · Salem, Nh

Moves

a registration end followed by a registration begin elsewhere

O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 31, 2017, registered Jul 5, 2022 (1647 days) · Other · moved with a team
R•• A•••• M••••••••• to G••••• W••••• M••••••••• I•••
left Dec 15, 2006, registered Aug 29, 2003 (-1204 days) · Other
G••••• W••••• M••••••••• I••• to O•••• F•• I•••
left Dec 4, 2006, registered Dec 14, 2006 (10 days) · Other
C••••• A••••••• L•• to R•• A•••• M•••••••••
left Jun 6, 2003, registered Mar 18, 2002 (-445 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: 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