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••••••• A• N•••••

S•••••• W••••• P•••••••• L••BD affiliatedPaulden, Az dual registrantIAPD 4887008

Certified Financial Planner

Feed of 09/15/2026

Also filed as K••••••• A• N•••••

At current firm

6 y

since Nov 14, 2019

In the industry

21 y

since Jan 24, 2005 (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

S•••••• W••••• P•••••••• L•• BD affiliated current
since Nov 14, 2019 · Prescott, Az
M•••••• C•••••• C••••••••• state registered
Aug 26, 2013 to Nov 14, 2019 · San Rafael, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 5, 2009 to Aug 28, 2013 · San Francisco, Ca
A••••••••• A•••••• S•••••••• I••• unclassified
Dec 5, 2006 to Oct 5, 2009 · San Francisco, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 25, 2005 to Nov 6, 2006 · Mill Valley, Ca

Moves

a registration end followed by a registration begin elsewhere

M•••••• C•••••• C••••••••• to S•••••• W••••• P•••••••• L••
left Nov 14, 2019, registered Nov 14, 2019 (0 days) · Other
A••••••••• F•••••••• S•••••••• L•• to M•••••• C•••••• C•••••••••
left Aug 28, 2013, registered Aug 26, 2013 (-2 days) · Affiliated broker-dealer or bank to a state-registered adviser
A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• A•••••• S•••••••• I•••
left Nov 6, 2006, registered Dec 5, 2006 (29 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: Broker-dealer affiliated wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address