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•• O••••••

E•••••••independent RIAWalpole, Ma IA-onlyIAPD 5577494

Certified Financial Planner

Feed of 09/15/2026

Also filed as K•••• O••••••

At current firm

6 y

since May 13, 2020

In the industry

20 y

since Jun 1, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E••••••• independent RIA current
since May 16, 2024 · New York, Ny
B••••••• F•••••••• state registered current
since May 13, 2020 · Walpole, Ma
O••••• I••••••••• A••••••• L•• independent RIA
Sep 22, 2021 to Mar 18, 2024 · Sarasota, Fl
M•• I•••••••• S•••••••• L•• BD affiliated
Mar 25, 2017 to Dec 31, 2019 · Walpole, Ma
M•• F•••••••• S•••••••• I••• former
Apr 13, 2016 to Mar 25, 2017 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

O••••• I••••••••• A••••••• L•• to E•••••••
left Mar 18, 2024, registered May 16, 2024 (59 days) · RIA to RIA
M•• I•••••••• S•••••••• L•• to B••••••• F••••••••
left Dec 31, 2019, registered May 13, 2020 (134 days) · Affiliated broker-dealer or bank to a state-registered adviser
M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move

Signals

K•••• A•• O•••••• left O••••• I••••••••• A••••••• L•• for Ellevest (registered 2024-05-16)
Mar 18, 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: Independent wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address