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
Carolyn Rebecca Wyatt
Feed of 09/14/2026
At current firm
1 y
since Jun 5, 2025
In the industry
25 y
since Jan 23, 2001 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jun 5, 2025 · Glendora, Ca
- Western International Securities formerJun 21, 2022 to Jun 5, 2025 · Glendora, Ca
- M Stevens Wealth Advisors, LLC state registeredOct 23, 2018 to Jul 7, 2022 · Las Vegas, Nv
- Kingswood Wealth Advisors, LLC BD affiliatedJul 30, 2018 to Sep 18, 2018 · Costa Mesa, Ca
- Waddell & Reed formerOct 10, 2014 to Jul 26, 2018 · Seal Beach, Ca
- D.A. Davidson & Co. independent RIANov 25, 2013 to Oct 13, 2014 · Newport Beach, Ca
- Crowell Weedon & Co. formerNov 4, 2013 to Nov 25, 2013 · Newport Beach, Ca
- Crowell, Weedon & Co. formerJan 4, 2002 to Nov 4, 2013 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- Western International Securities to LPL Financial LLCleft Jun 5, 2025, registered Jun 5, 2025 (0 days) · corporate re-registration, not a move
- M Stevens Wealth Advisors, LLC to Western International Securitiesleft Jul 7, 2022, registered Jun 21, 2022 (-16 days) · Other
- Kingswood Wealth Advisors, LLC to M Stevens Wealth Advisors, LLCleft Sep 18, 2018, registered Oct 23, 2018 (35 days) · RIA to a state-registered adviser · moved with a team
- Waddell & Reed to Kingswood Wealth Advisors, LLCleft Jul 26, 2018, registered Jul 30, 2018 (4 days) · Affiliated broker-dealer or bank to independent RIA
- D.A. Davidson & Co. to Waddell & Reedleft Oct 13, 2014, registered Oct 10, 2014 (-3 days) · Other
- Crowell Weedon & Co. to D.A. Davidson & Co.left Nov 25, 2013, registered Nov 25, 2013 (0 days) · corporate re-registration, not a move
- Crowell, Weedon & Co. to Crowell Weedon & Co.left Nov 4, 2013, registered Nov 4, 2013 (0 days) · corporate re-registration, not a move
Signals
- Carolyn Rebecca Wyatt left M Stevens Wealth Advisors, Llc for Western International Securities (registered 2022-06-21)Jul 7, 2022 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address