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

E••• K•• W•••

A••••••••• I•••BD affiliatedCharlotte, Nc IA-onlyIAPD 4701048

Certified Financial Planner

Feed of 09/15/2026

Also filed as E••• Kay Mowery

At current firm

1 y

since Aug 14, 2025

In the industry

22 y

since Nov 10, 2003 (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

A••••••••• I••• BD affiliated current
since Aug 14, 2025 · Charlotte, Nc
C••• L•• BD affiliated
Aug 23, 2018 to Nov 22, 2024 · Omaha, Ne
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jun 18, 2015 to Jun 7, 2018 · Omaha, Ne
F•••• N••••••• C•••••• M••••••• I••• former
Jun 19, 2012 to Jun 18, 2015 · Omaha, Ne
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 30, 2010 to May 31, 2012 · Omaha, Ne
T• A••••••••• I••• former
Jul 30, 2010 to May 31, 2012 · Omaha, Ne
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 11, 2003 to Jul 9, 2010 · Brookfield, Wi

Moves

a registration end followed by a registration begin elsewhere

C••• L•• to A••••••••• I•••
left Nov 22, 2024, registered Aug 14, 2025 (265 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••• L••
left Jun 7, 2018, registered Aug 23, 2018 (77 days) · Affiliated broker-dealer or bank to independent RIA
F•••• N••••••• C•••••• M••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jun 18, 2015, registered Jun 18, 2015 (0 days) · Other · moved with a team
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left May 31, 2012, registered Jul 30, 2010 (-671 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left May 31, 2012, registered Jul 30, 2010 (-671 days) · channel change inside one enterprise, not a move
A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I•••
left Jul 9, 2010, registered Jul 30, 2010 (21 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

E••• K•• W••• left C••• L•• for A••••••••• I••• (registered 2025-08-14)
Nov 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: Broker-dealer affiliated wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address