DFX Intelligence
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Registered advisor
K••••••••• W••••• M•••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as K••••••••• W••••• W••••••••• W••••• M••••••••• W• M•••••••
At current firm
1 y
since Mar 31, 2025
In the industry
16 y
since Jun 4, 2010 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Franklin, Tn
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 3, 2024 to Mar 31, 2025 · Franklin, Tn
- C•••••• S••••• • C••• I••• national BDApr 12, 2022 to Mar 1, 2024 · Nashville, Tn
- T• A••••••••• I••• formerJan 24, 2022 to Oct 14, 2022 · Nashville, Tn
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 24, 2022 to Sep 7, 2023 · Nashville, Tn
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jan 12, 2022 · Boston, Ma
All 7 prior registrationsShow fewer
- S•••••••• A••••••• L•• national BDAug 26, 2014 to Jul 13, 2018 · Sacramento, Ca
- M••••• S•••••• wirehouseJun 7, 2010 to Aug 8, 2014 · Auburn, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 1, 2024, registered Apr 3, 2024 (33 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Apr 12, 2022 (-513 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jan 24, 2022 (-263 days) · corporate re-registration, not a move
- F••••••• P••••••• A•• W•••••••• A••••••• to T• A••••••••• I•••left Jan 12, 2022, registered Jan 24, 2022 (12 days) · Other
All 7 movesShow fewer
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to S•••••••• A••••••• L••left Aug 8, 2014, registered Aug 26, 2014 (18 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedMar 1, 2024 · Advisor changed firm · fact
- ••• LockedJan 12, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address