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

M•••• K••••••• A••••

S•••••• W••••• P•••••••• L••BD affiliatedMcfarland, Wi dual registrantIAPD 5183884

Feed of 09/14/2026

Also filed as M•••• K••••••• Winn

At current firm

0 y

since Mar 13, 2026

In the industry

19 y

since Jul 31, 2007 (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 Mar 13, 2026 · Beachwood, Oh
S•••••• W••••• A••••••• L•• independent RIA current
since Mar 13, 2026 · Beachwood, Oh
M••••• S•••••• wirehouse
Dec 4, 2024 to Feb 27, 2026 · Mcfarland, Wi
L•• F•••••••• L•• BD affiliated
Mar 11, 2015 to Nov 27, 2024 · Pewaukee, Wi
B•• H••••• F•••••••• A•••••••• I•• former
Jul 3, 2012 to Mar 2, 2015 · Milwaukee, Wi
M•• I••••••••• M••••••••• C•••• former
Apr 29, 2010 to Apr 17, 2012 · Milwaukee, Wi
M•• F•••••••• A•••••••• I••• former
Aug 21, 2007 to Aug 17, 2012 · Milwaukee, Wi

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to S•••••• W••••• A••••••• L••
left Feb 27, 2026, registered Mar 13, 2026 (14 days) · Wirehouse to independent RIA
L•• F•••••••• L•• to M••••• S••••••
left Nov 27, 2024, registered Dec 4, 2024 (7 days) · Affiliated broker-dealer or bank to wirehouse
B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••
left Mar 2, 2015, registered Mar 11, 2015 (9 days) · Other
M•• F•••••••• A•••••••• I••• to M•• I••••••••• M••••••••• C••••
left Aug 17, 2012, registered Apr 29, 2010 (-841 days) · corporate re-registration, not a move
M•• I••••••••• M••••••••• C•••• to B•• H••••• F•••••••• A•••••••• I••
left Apr 17, 2012, registered Jul 3, 2012 (77 days) · corporate re-registration, not a move

Signals

M•••• K••••••• A•••• left M••••• S•••••• for S•••••• W••••• A••••••• L•• (registered 2026-03-13)
Feb 27, 2026 · Advisor changed firm · fact
M•••• K••••••• A•••• left L•• F•••••••• L•• for M••••• S•••••• (registered 2024-12-04)
Nov 27, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address