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

C••••• K••

W•••• F•••• A•••••••wirehouseCanton, Ga dual registrantIAPD 4444056

Feed of 09/14/2026

At current firm

2 y

since Aug 26, 2024

In the industry

24 y

since Mar 6, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

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 Aug 26, 2024 · Cartersville, Ga
C••• F•••••••• S•••••••• L••• former
Jan 21, 2011 to Aug 22, 2024 · San Diego, Ca
C••• B•••••••• S•••••••• I••• former
Oct 8, 2008 to Jan 13, 2011 · Atlanta, Ga
V•••• F•••••••• A•••••••• I••• BD affiliated
Oct 26, 2006 to Sep 18, 2008 · Atlanta, Ga
1••• C•••••• M••••••••• C•••••• unclassified
Aug 23, 2005 to Oct 18, 2006 · Roswell, Ga
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Oct 20, 2003 to Oct 7, 2004 · Duluth, Ga

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to W•••• F•••• A•••••••
left Aug 22, 2024, registered Aug 26, 2024 (4 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
C••• B•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••
left Jan 13, 2011, registered Jan 21, 2011 (8 days) · Other
V•••• F•••••••• A•••••••• I••• to C••• B•••••••• S•••••••• I•••
left Sep 18, 2008, registered Oct 8, 2008 (20 days) · Other
1••• C•••••• M••••••••• C•••••• to V•••• F•••••••• A•••••••• I•••
left Oct 18, 2006, registered Oct 26, 2006 (8 days) · Other
T••••••••• F•••••••• A•••••••• L•• to 1••• C•••••• M••••••••• C••••••
left Oct 7, 2004, registered Aug 23, 2005 (320 days) · Other

Signals

C••••• K•• left C••• F•••••••• S•••••••• L••• for W•••• F•••• A••••••• (registered 2024-08-26)
Aug 22, 2024 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address