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• Z••••••••

O•••• W•••••• I•••BD affiliatedSalem, Nh dual registrantIAPD 4244367

Feed of 09/14/2026

Also filed as K•••••• Gazzara

At current firm

3 y

since Aug 4, 2023

In the industry

23 y

since Dec 19, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Aug 4, 2023 · Salem, Nh
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Mar 1, 2018 to Aug 4, 2023 · Smithfield, Ri
A•••• S••••••• A•••••••• L•• mixed wealth
May 20, 2015 to Jan 26, 2018 · Wayland, Ma
A••••• A•• P••••••• S••••••• BD affiliated
Jan 23, 2014 to Apr 29, 2015 · Providence, Ri
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 21, 2013 to Oct 29, 2013 · Wellesley Hills, Ma

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to O•••• W•••••• I•••
left Aug 4, 2023, registered Aug 4, 2023 (0 days) · Affiliated broker-dealer or bank to another
A•••• S••••••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jan 26, 2018, registered Mar 1, 2018 (34 days) · Other
A••••• A•• P••••••• S••••••• to A•••• S••••••• A•••••••• L••
left Apr 29, 2015, registered May 20, 2015 (21 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••
left Oct 29, 2013, registered Jan 23, 2014 (86 days) · Other

Signals

K•••••• A• Z•••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for O•••• W•••••• I••• (registered 2023-08-04)
Aug 4, 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address