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

C•••••• K• O••••••••

C••••• I••••••••• A••••••• L••BD affiliatedSouthern Pines, Ncdual registrantIAPD 4751374

Feed of 09/14/2026

Also filed as C•••••• Jennifer Hewey

At current firm

0 y

since Jun 3, 2026

In the industry

22 y

since Jun 28, 2004 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 3, 2026 · Southern Pines, Nc
C••••••••• F•••••••• N•••••• national BD
Mar 17, 2026 to Jun 2, 2026 · Durham, Nc
T•• P•••• W••••• M••••••••• L•• independent RIA
Mar 28, 2024 to Aug 14, 2025 · Southern P••••, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 8, 2014 to Apr 1, 2024 · Myrtle Beach, Sc
U•• F•••••••• S••••••• I••• wirehouse
Apr 2, 2009 to Jun 18, 2014 · Hartford, Ct
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 5, 2007 to Apr 23, 2009 · Hartford, Ct
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Sep 29, 2006 to Jan 30, 2007 · Hartford, Ct
A• G• E•••••• • S•••• I••• unclassified
Jul 1, 2004 to Sep 22, 2006 · Glastonbury, Ct

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to C••••• I••••••••• A••••••• L••
left Jun 2, 2026, registered Jun 3, 2026 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
T•• P•••• W••••• M••••••••• L•• to C••••••••• F•••••••• N••••••
left Aug 14, 2025, registered Mar 17, 2026 (215 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T•• P•••• W••••• M••••••••• L••
left Apr 1, 2024, registered Mar 28, 2024 (-4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 18, 2014, registered Jul 8, 2014 (20 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••
left Apr 23, 2009, registered Apr 2, 2009 (-21 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••
left Jan 30, 2007, registered Feb 5, 2007 (6 days) · Other
A• G• E•••••• • S•••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Sep 22, 2006, registered Sep 29, 2006 (7 days) · Other

Signals

C•••••• K• O•••••••• left C••••••••• F•••••••• N•••••• for C••••• I••••••••• A••••••• L•• (registered 2026-06-03)
Jun 2, 2026 · Advisor changed firm · fact
C•••••• K• O•••••••• left T•• P•••• W••••• M••••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2026-03-17)
Aug 14, 2025 · Advisor changed firm · fact
C•••••• K• O•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for T•• P•••• W••••• M••••••••• L•• (registered 2024-03-28)
Apr 1, 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