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••••••• W••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedPlymouth, Mn dual registrantIAPD 6038593

Feed of 09/15/2026

Also filed as K••••••• Elizabeth W••••

At current firm

1 y

since Sep 25, 2024

In the industry

14 y

since Aug 3, 2012 (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

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Sep 25, 2024 · Bay City, Mi
W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated
Jun 13, 2024 to Sep 4, 2024 · Midland, Mi
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Aug 9, 2023 to Jun 4, 2024 · Midland, Mi
B••••••• F• E•••••• • C••••••• I••••••••• BD affiliated
Jul 12, 2021 to Jul 19, 2023 · Midland, Mi
W•••• F•••• A••••••• wirehouse
Feb 11, 2014 to Jun 28, 2021 · Bay City, Mi
P•• W••••• M••••••••• BD affiliated
Sep 25, 2013 to Dec 18, 2013 · Midland, Mi
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 13, 2012 to Jul 19, 2013 · Saginaw, Mi

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W••••• E••••••••• A••••••• S•••••••• L••
left Jun 4, 2024, registered Jun 13, 2024 (9 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
B••••••• F• E•••••• • C••••••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jul 19, 2023, registered Aug 9, 2023 (21 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to B••••••• F• E•••••• • C••••••• I•••••••••
left Jun 28, 2021, registered Jul 12, 2021 (14 days) · Wirehouse to affiliated broker-dealer or bank
P•• W••••• M••••••••• to W•••• F•••• A•••••••
left Dec 18, 2013, registered Feb 11, 2014 (55 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••
left Jul 19, 2013, registered Sep 25, 2013 (68 days) · Other

Signals

K••••••• W•••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-13)
Jun 4, 2024 · Advisor changed firm · fact
K••••••• W•••• left B••••••• F• E•••••• • C••••••• I••••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-08-09)
Jul 19, 2023 · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address