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

S••• K••••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedPlymouth, Mn dual registrantIAPD 2684383

Feed of 09/14/2026

Also filed as S••• K••••••

At current firm

3 y

since May 17, 2023

In the industry

30 y

since Dec 4, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since May 17, 2023 · Minnetonka, Mn
L•• F•••••••• L•• BD affiliated
Jul 12, 2023 to Jul 28, 2023 · San Diego, Ca
J• W• C••• A•••••••• I••• BD affiliated
Jan 30, 2014 to May 2, 2023 · Tampa, Fl
N•• E•• F•••••••• A•••••••• I••• former
Jan 22, 2014 to May 31, 2023 · Wayzata, Mn

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to no registered destination
left Jul 28, 2023 · Departure, no registered destination
N•• E•• F•••••••• A•••••••• I••• to J• W• C••• A•••••••• I•••
left May 31, 2023, registered Jan 30, 2014 (-3408 days) · Other
J• W• C••• A•••••••• I••• to W••••• E••••••••• A••••••• S•••••••• L••
left May 2, 2023, registered May 17, 2023 (15 days) · Affiliated broker-dealer or bank to independent RIA

Signals

S••• K•••••• no longer registered at L•• F•••••••• L••; no later IA registration on IAPD
Jul 28, 2023 · Advisor departure · fact
S••• K•••••• left N•• E•• F•••••••• A•••••••• I••• for J• W• C••• A•••••••• I••• (registered 2014-01-30)
May 31, 2023 · Advisor changed firm · fact
S••• K•••••• left J• W• C••• A•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-05-17)
May 2, 2023 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address