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

K•••••• W•••••• B•••••••

H•••••••• A•••••••• L••BD affiliatedMarlton, Nj IA-onlyIAPD 3270397

Certified Financial Planner

Feed of 09/15/2026

Also filed as K•••••• W•••••• B•••••••

At current firm

3 y

since Sep 6, 2023

In the industry

26 y

since Feb 14, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H•••••••• A•••••••• L•• BD affiliated current
since Sep 6, 2023 · Marlton, Nj
M•••• C•••••• G•••• former
Apr 11, 2019 to Sep 28, 2023 · Marlton, Nj
B•••••••• I••••••••• M••••••••• L•• asset manager
Aug 6, 2010 to Mar 26, 2019 · Princeton, Nj
T• W••••• M••••••••• S••••••• I••• unclassified
Oct 6, 2009 to May 28, 2010 · Philadelphia, Pa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 14, 2007 to Sep 8, 2009 · Pennington, Nj
B•••••••• I••••••••• M••••••••• L•• asset manager
Sep 29, 2006 to Dec 4, 2006 · Plainsboro, Nj
M•••••• L•••• I••••••••• M••••••• L• unclassified
May 23, 2006 to Sep 29, 2006 · Plainsboro, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 19, 2004 to May 23, 2006 · Pennington, Nj

Moves

a registration end followed by a registration begin elsewhere

M•••• C•••••• G•••• to H•••••••• A•••••••• L••
left Sep 28, 2023, registered Sep 6, 2023 (-22 days) · RIA to affiliated broker-dealer or bank · moved with a team
B•••••••• I••••••••• M••••••••• L•• to M•••• C•••••• G••••
left Mar 26, 2019, registered Apr 11, 2019 (16 days) · Other
T• W••••• M••••••••• S••••••• I••• to B•••••••• I••••••••• M••••••••• L••
left May 28, 2010, registered Aug 6, 2010 (70 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• W••••• M••••••••• S••••••• I•••
left Sep 8, 2009, registered Oct 6, 2009 (28 days) · Other
B•••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 4, 2006, registered Feb 14, 2007 (72 days) · Other
M•••••• L•••• I••••••••• M••••••• L• to B•••••••• I••••••••• M••••••••• L••
left Sep 29, 2006, registered Sep 29, 2006 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••• L•••• I••••••••• M••••••• L•
left May 23, 2006, registered May 23, 2006 (0 days) · Other

Signals

K•••••• W•••••• B••••••• left M•••• C•••••• G•••• for H•••••••• A•••••••• L•• (registered 2023-09-06)
Sep 28, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address