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

R•••••• K•••••• C••••••••

W•••• F•••• A•••••••wirehouseNaples, Fldual registrantIAPD 2888281

Feed of 09/14/2026

Also filed as Rick C••••••••

At current firm

1 y

since Nov 22, 2024

In the industry

29 y

since Jul 10, 1997 (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

W•••• F•••• A••••••• wirehouse current
since Nov 22, 2024 · Naples, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 26, 2013 to Nov 27, 2024 · Fort Myers, Fl
U•• F•••••••• S••••••• I••• wirehouse
Sep 1, 2006 to May 6, 2013 · Fort Myers, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 10, 1997 to Sep 8, 2006 · Fort Myers, Fl

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••
left Nov 27, 2024, registered Nov 22, 2024 (-5 days) · Affiliated broker-dealer or bank to wirehouse
U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left May 6, 2013, registered Apr 26, 2013 (-10 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Sep 8, 2006, registered Sep 1, 2006 (-7 days) · Wirehouse to wirehouse

Signals

R•••••• K•••••• C•••••••• left A••••••••• F•••••••• S•••••••• L•• for W•••• F•••• A••••••• (registered 2024-11-22)
Nov 27, 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: Wirehousederived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address