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.

Registered advisor

Kenneth Anton

Cwm, LLCBD affiliatedAustin, Tx IA-onlyIAPD 4055020
Feed of 09/14/2026
Also filed as Kenneth Thomas Anton
At current firm
3 y
since Aug 16, 2023
In the industry
26 y
since Mar 13, 2000 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
  • Cwm, LLC BD affiliated current
    since Aug 16, 2023 · Austin, Tx
  • Spc BD affiliated
    May 15, 2015 to Aug 16, 2023 · Austin, Tx
  • Oppenheimer & Co. Inc. BD affiliated
    Dec 12, 2013 to Jun 12, 2015 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
  • Spc to Cwm, LLC
    left Aug 16, 2023, registered Aug 16, 2023 (0 days) · Affiliated broker-dealer or bank to another
  • Oppenheimer & Co. Inc. to Spc
    left Jun 12, 2015, registered May 15, 2015 (-28 days) · Other
Signals
  • Kenneth Anton left Spc for Cwm, Llc (registered 2023-08-16)
    Aug 16, 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