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

K•••• W• O••••••

L•• F•••••••• L••BD affiliatedSanta Rosa, Ca dual registrantIAPD 5783033

Feed of 09/15/2026

At current firm

2 y

since Sep 19, 2024

In the industry

16 y

since Jul 9, 2010 (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

L•• F•••••••• L•• BD affiliated current
since Sep 19, 2024 · Santa Rosa, Ca
C••• F•••••••• S•••••••• L••• former
Apr 7, 2015 to Sep 18, 2024 · Santa Rosa, Ca
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Apr 16, 2015 · Windsor, Ca
C•••• I••••••••• S••••••• C•••• former
Apr 12, 2012 to Oct 1, 2012 · Windsor, Ca

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left Sep 18, 2024, registered Sep 19, 2024 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
J••• M••••• S••••••••• L•• to C••• F•••••••• S•••••••• L•••
left Apr 16, 2015, registered Apr 7, 2015 (-9 days) · Other
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move

Signals

K•••• W• O•••••• left C••• F•••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2024-09-19)
Sep 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: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address