DFX Intelligence
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K••••••• A•• W••••
As of · the IAPD feed; also filed as K•• W••••••••• A•• C••••••• C•••
- At current firm
- 1 y
- In the industry
- 14 y
- Prior registered firms
- 2
- Signals
- 2
since Dec 16, 2024
As of · the IAPD feed; also filed as K•• W••••••••• A•• C••••••• C•••
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Dec 16, 2024 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseJul 29, 2022 to Dec 11, 2024 · Weehawken, Nj
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 3, 2020 to Aug 2, 2022 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to A••••• A•• P••••••• S•••••••left Dec 11, 2024, registered Dec 16, 2024 (5 days) · Wirehouse to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Aug 2, 2022, registered Jul 29, 2022 (-4 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- ••• LockedDec 11, 2024 · Advisor changed firm · fact
- ••• LockedAug 2, 2022 · Advisor changed firm · fact
Transition signals
No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address