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

C••••••••• W•••• K•••• C•••••

L•• F•••••••• L••BD affiliatedBloomfield, Ct dual registrantIAPD 3157302

Feed of 09/15/2026

Also filed as Chirstopher W•••• K•••• C•••••

At current firm

1 y

since Sep 4, 2025

In the industry

27 y

since Apr 13, 1999 (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

L•• F•••••••• L•• BD affiliated current
since Sep 4, 2025 · Glastonbury, Ct
K•• I••••••••• S••••••• L•• BD affiliated
Aug 12, 2024 to Sep 3, 2025 · Manchester, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 30, 2015 to Aug 6, 2024 · Cheshire, Ct
V••••• I••••••••• A•••••••• L•• asset manager
Mar 1, 2012 to Oct 26, 2015 · Hartford, Ct
V••• F•••••••• P•••••••• L•• former
Sep 18, 2002 to Jul 23, 2004 · Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

K•• I••••••••• S••••••• L•• to L•• F•••••••• L••
left Sep 3, 2025, registered Sep 4, 2025 (1 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K•• I••••••••• S••••••• L••
left Aug 6, 2024, registered Aug 12, 2024 (6 days) · Wirehouse to affiliated broker-dealer or bank
V••••• I••••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 26, 2015, registered Oct 30, 2015 (4 days) · Other
V••• F•••••••• P•••••••• L•• to V••••• I••••••••• A•••••••• L••
left Jul 23, 2004, registered Mar 1, 2012 (2778 days) · Other

Signals

C••••••••• W•••• K•••• C••••• left K•• I••••••••• S••••••• L•• for L•• F•••••••• L•• (registered 2025-09-04)
Sep 3, 2025 · Advisor changed firm · fact
C••••••••• W•••• K•••• C••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for K•• I••••••••• S••••••• L•• (registered 2024-08-12)
Aug 6, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address