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

K•••• A• T••••••

W•••• F•••• A•••••••wirehouseBethesda, Md dual registrantIAPD 3260857

Feed of 09/15/2026

At current firm

2 y

since Nov 9, 2023

In the industry

26 y

since Oct 25, 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

W•••• F•••• A••••••• wirehouse current
since Nov 9, 2023 · Bethesda, Md
U•• F•••••••• S••••••• I••• wirehouse
Feb 27, 2009 to Nov 17, 2023 · Westport, Ct
C•••••••• G••••• M•••••• I••• BD affiliated
Jan 16, 2007 to Mar 23, 2009 · Westport, Ct
C••••••••• I••••••••• L•• mixed wealth
Dec 19, 2005 to Jan 4, 2007 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Jun 10, 2005 to Dec 21, 2005 · Stamford, Ct

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
left Nov 17, 2023, registered Nov 9, 2023 (-8 days) · Wirehouse to wirehouse · moved with a team
C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••
left Mar 23, 2009, registered Feb 27, 2009 (-24 days) · Other
C••••••••• I••••••••• L•• to C•••••••• G••••• M•••••• I•••
left Jan 4, 2007, registered Jan 16, 2007 (12 days) · Other
C•••••••• G••••• M•••••• I••• to C••••••••• I••••••••• L••
left Dec 21, 2005, registered Dec 19, 2005 (-2 days) · corporate re-registration, not a move

Signals

K•••• A• T•••••• left U•• F•••••••• S••••••• I••• for W•••• F•••• A••••••• (registered 2023-11-09)
Nov 17, 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: Wirehousederived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address