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

B•••• W•••••• L•••••••

K••••• P•••••• W••••• S•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 2621524

Certified Financial Planner

Feed of 09/15/2026

At current firm

7 y

since May 7, 2019

In the industry

31 y

since Jun 29, 1995 (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••••• P•••••• W••••• S•••••••• L•• BD affiliated current
since May 7, 2019 · Melbourne, Fl
U•• F•••••••• S••••••• I••• wirehouse
Oct 28, 2010 to May 10, 2019 · Melbourne, Fl
S•••••• N••••••• • C••••••• I••••••••• national BD
Jan 30, 2007 to Nov 4, 2010 · St. Louis, Mo
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 21, 2006 to Feb 7, 2007 · Suntree, Fl
L••• M•••• W••• W•••••• I••••••••• unclassified
Apr 4, 2002 to Feb 21, 2006 · Suntree, Fl

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to K••••• P•••••• W••••• S•••••••• L••
left May 10, 2019, registered May 7, 2019 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
S•••••• N••••••• • C••••••• I••••••••• to U•• F•••••••• S••••••• I•••
left Nov 4, 2010, registered Oct 28, 2010 (-7 days) · Affiliated broker-dealer or bank to wirehouse
C•••••••• G••••• M•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Feb 7, 2007, registered Jan 30, 2007 (-8 days) · Other
L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••
left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move

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: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address