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

M••• A•••• W••••••

K••••• A••••••• S•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 5825325

Feed of 09/14/2026

At current firm

1 y

since Sep 4, 2025

In the industry

16 y

since Jul 1, 2010 (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

K••••• A••••••• S•••••••• L•• BD affiliated current
since Sep 4, 2025 · Austin, Tx
C••••••••• F•••••••• N•••••• national BD
Jul 19, 2024 to Sep 4, 2025 · Seven Fields, Pa
B•• F•••••••• S•••••••• L•• state registered
Apr 20, 2017 to Mar 14, 2025 · Wexford, Pa
O•••• F•• I••• former
Feb 14, 2017 to Jul 23, 2024 · Wexford, Pa
W•••• F•••• A••••••• wirehouse
Nov 2, 2010 to Feb 13, 2017 · Mansfield, Oh

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to K••••• A••••••• S•••••••• L••
left Sep 4, 2025, registered Sep 4, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
B•• F•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••
left Mar 14, 2025, registered Jul 19, 2024 (-238 days) · Other
O•••• F•• I••• to B•• F•••••••• S•••••••• L••
left Jul 23, 2024, registered Apr 20, 2017 (-2651 days) · Affiliated broker-dealer or bank to a state-registered adviser · moved with a team
W•••• F•••• A••••••• to O•••• F•• I•••
left Feb 13, 2017, registered Feb 14, 2017 (1 days) · Other

Signals

M••• A•••• W•••••• left C••••••••• F•••••••• N•••••• for K••••• A••••••• S•••••••• L•• (registered 2025-09-04)
Sep 4, 2025 · Advisor changed firm · fact
M••• A•••• W•••••• left B•• F•••••••• S•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2024-07-19)
Mar 14, 2025 · Advisor changed firm · fact
M••• A•••• W•••••• left O•••• F•• I••• for B•• F•••••••• S•••••••• L•• (registered 2017-04-20)
Jul 23, 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