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•• S• W•••••

A••••••• W••••• A•••••••BD affiliatedAtlanta, Gadual registrantIAPD 4554947

Feed of 09/14/2026

Also filed as Kay Stella Oliver

At current firm

2 y

since Jul 8, 2024

In the industry

18 y

since May 21, 2008 (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

A••••••• W••••• A••••••• BD affiliated current
since Jul 8, 2024 · Atlanta, Ga
M••••• S•••••• wirehouse
Mar 6, 2023 to Jul 4, 2024 · Atlanta, Ga
B• W••••• M••••••••• L•• former
Dec 6, 2018 to Jul 28, 2022 · Atlanta, Ga
U•• F•••••••• S••••••• I••• wirehouse
Mar 20, 2018 to Nov 1, 2018 · Atlanta, Ga
J••• M••••• S••••••••• L•• wirehouse
Mar 17, 2009 to Mar 20, 2018 · Atlanta, Ga
B••••••• C•••••• I••• former
Jan 21, 2009 to Mar 20, 2009 · Atlanta, Ga
L••••• B••••••• I••• unclassified
May 27, 2008 to Oct 15, 2008 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to A••••••• W••••• A•••••••
left Jul 4, 2024, registered Jul 8, 2024 (4 days) · Wirehouse to affiliated broker-dealer or bank
B• W••••• M••••••••• L•• to M••••• S••••••
left Jul 28, 2022, registered Mar 6, 2023 (221 days) · RIA to wirehouse
U•• F•••••••• S••••••• I••• to B• W••••• M••••••••• L••
left Nov 1, 2018, registered Dec 6, 2018 (35 days) · Wirehouse to independent RIA
J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••
left Mar 20, 2018, registered Mar 20, 2018 (0 days) · Wirehouse to wirehouse
B••••••• C•••••• I••• to J••• M••••• S••••••••• L••
left Mar 20, 2009, registered Mar 17, 2009 (-3 days) · Other
L••••• B••••••• I••• to B••••••• C•••••• I•••
left Oct 15, 2008, registered Jan 21, 2009 (98 days) · corporate re-registration, not a move

Signals

K•• S• W••••• left M••••• S•••••• for A••••••• W••••• A••••••• (registered 2024-07-08)
Jul 4, 2024 · Advisor changed firm · fact
K•• S• W••••• left B• W••••• M••••••••• L•• for M••••• S•••••• (registered 2023-03-06)
Jul 28, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address