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

A••• M•••••• L•••••

K••••• P•••••• W••••• S•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 5477080

Feed of 09/14/2026

At current firm

2 y

since Jun 24, 2024

In the industry

18 y

since Apr 7, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K••••• P•••••• W••••• S•••••••• L•• BD affiliated current
since Jun 24, 2024 · Waterville, Oh
K••••• A••••••• S•••••••• L•• BD affiliated
Jun 24, 2024 to Jun 24, 2024 · Austin, Tx
E••••• J•••• national BD
Jun 10, 2011 to Jun 25, 2024 · Temperance, Mi
T•• W••••• P••••••• independent RIA
May 17, 2011 to Jun 7, 2011 · Maumee, Oh
E••••• J•••• national BD
Oct 30, 2008 to May 10, 2011 · Temperance, Mi

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to K••••• A••••••• S•••••••• L••
left Jun 25, 2024, registered Jun 24, 2024 (-1 days) · Affiliated broker-dealer or bank to another
K••••• A••••••• S•••••••• L•• to K••••• P•••••• W••••• S•••••••• L••
left Jun 24, 2024, registered Jun 24, 2024 (0 days) · Affiliated broker-dealer or bank to another
T•• W••••• P••••••• to E••••• J••••
left Jun 7, 2011, registered Jun 10, 2011 (3 days) · Other
E••••• J•••• to T•• W••••• P•••••••
left May 10, 2011, registered May 17, 2011 (7 days) · Other

Signals

A••• M•••••• L••••• left E••••• J•••• for K••••• A••••••• S•••••••• L•• (registered 2024-06-24)
Jun 25, 2024 · Advisor changed firm · fact
A••• M•••••• L••••• left K••••• A••••••• S•••••••• L•• for K••••• P•••••• W••••• S•••••••• L•• (registered 2024-06-24)
Jun 24, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address