DFX Intelligence
RIA Intelligence
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Registered advisor
K••• R••••• W•••••••
Feed of 09/15/2026
At current firm
11 y
since May 5, 2015
In the industry
21 y
since Jun 16, 2005 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- C•••••• C••••• G••••• I••• no RAUM currentsince May 5, 2015 · Carmel, In
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to May 10, 2010 · Lebanon, In
- N•••••• I••••••••• I••• unclassifiedJan 16, 2009 to Nov 13, 2009 · Lebanon, In
- W•••••• • R••• formerSep 29, 2005 to Jan 8, 2009 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• M••••••••• to C•••••• C••••• G••••• I•••left May 10, 2010, registered May 5, 2015 (1821 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to N•••••• I••••••••• I•••left Jan 8, 2009, registered Jan 16, 2009 (8 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
- No RAUM reportedderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address