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 James Dean
Certified Financial Planner · Chartered Financial Analyst
Feed of 09/15/2026
Also filed as Ken Dean
At current firm
8 y
since May 7, 2018
In the industry
26 y
since Oct 1, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Winthrop Wealth independent RIA currentsince May 7, 2018 · Boston, Ma
- Peak Financial Management Inc independent RIAJan 14, 2016 to Jul 24, 2017 · Wellesley, Ma
- Granite State Retirement Planning, Inc. independent RIAFeb 22, 2008 to Jan 8, 2013 · Bedford, Nh
- UBS Financial Services Inc. wirehouseJun 10, 2003 to Aug 12, 2003 · Manchester, Nh
- Money Concepts Advisory Service BD affiliatedJan 16, 2003 to May 2, 2003 · Bedford, Nh
Moves
a registration end followed by a registration begin elsewhere
- Peak Financial Management Inc to Winthrop Wealthleft Jul 24, 2017, registered May 7, 2018 (287 days) · Other
- Granite State Retirement Planning, Inc. to Peak Financial Management Incleft Jan 8, 2013, registered Jan 14, 2016 (1101 days) · Other
- UBS Financial Services Inc. to Granite State Retirement Planning, Inc.left Aug 12, 2003, registered Feb 22, 2008 (1655 days) · Wirehouse to independent RIA
- Money Concepts Advisory Service to UBS Financial Services Inc.left May 2, 2003, registered Jun 10, 2003 (39 days) · Other
Signals
No dated event on this person.
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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address