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.

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Registered advisor

M•••• T••••••• W••

H•••••• T••••••• • K•••• L••independent RIAConshohocken, Padual registrantIAPD 2640025

Feed of 09/14/2026

Also filed as M•••• T••••••• W••

At current firm

2 y

since Jul 2, 2024

In the industry

23 y

since Aug 7, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H•••••• T••••••• • K•••• L•• independent RIA current
since Jul 2, 2024 · Conshohocken, Pa
O•••• W•••••• I••• BD affiliated
Jun 28, 2017 to Apr 23, 2024 · Scottsdale, Az
F•• S••••••••• C••••••••• former
Jun 28, 2017 to Nov 3, 2023 · Atlanta, Ga
W••••••• F•••••••• S•••••••• I••• former
Jun 28, 2017 to Jan 19, 2024 · Oakdale, Mn
S•••••••• F••••••••• I••• former
Jun 28, 2017 to Sep 1, 2023 · Phoenix, Az
L•• F•••••••• L•• BD affiliated
Dec 4, 2013 to Jun 13, 2017 · San Diego, Ca
F•••• A••••• A••••••• S•••••••• I••• former
Jul 2, 2012 to Oct 7, 2013 · San Diego, Ca
F•••• A••••• S••••••••• I••• former
Aug 10, 2010 to Jul 2, 2012 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to H•••••• T••••••• • K•••• L••
left Apr 23, 2024, registered Jul 2, 2024 (70 days) · Affiliated broker-dealer or bank to another
W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
left Jan 19, 2024, registered Jun 28, 2017 (-2396 days) · corporate re-registration, not a move
F•• S••••••••• C••••••••• to W••••••• F•••••••• S•••••••• I•••
left Nov 3, 2023, registered Jun 28, 2017 (-2319 days) · channel change inside one enterprise, not a move · moved with a team
S•••••••• F••••••••• I••• to F•• S••••••••• C•••••••••
left Sep 1, 2023, registered Jun 28, 2017 (-2256 days) · channel change inside one enterprise, not a move · moved with a team
L•• F•••••••• L•• to S•••••••• F••••••••• I•••
left Jun 13, 2017, registered Jun 28, 2017 (15 days) · Other
F•••• A••••• A••••••• S•••••••• I••• to L•• F•••••••• L••
left Oct 7, 2013, registered Dec 4, 2013 (58 days) · Other
F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••
left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move

Signals

M•••• T••••••• W•• no longer holds an investment adviser registration (last listed at H•••••• T••••••• • K•••• L•• on the 2026-09-17 feed)
Sep 17, 2026 · Advisor registration ended · derived
M•••• T••••••• W•• left O•••• W•••••• I••• for H•••••• T••••••• • K•••• L•• (registered 2024-07-02)
Apr 23, 2024 · Advisor changed firm · 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: Independent wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address