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

C•••• K•••••• W•••

A••••••••• R•••••••••independent RIALong Beach, Ca IA-onlyIAPD 6050425

Certified Financial Planner

Feed of 09/15/2026

Also filed as C•••• K•••••• W•••

At current firm

3 y

since May 15, 2023

In the industry

14 y

since Jun 14, 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

A••••••••• R••••••••• i••••••••• wealth current
since May 15, 2023 · Long Beach, Ca
W••••••••• R••••••••• A••••••• institutional
Dec 2, 2021 to Jul 31, 2023 · Aliso Viejo, Ca
O••••••••• institutional
Dec 3, 2018 to Jan 6, 2022 · Long Beach, Ca
I••••••••• F•••••••• P••••••• BD affiliated
Nov 21, 2014 to Dec 31, 2018 · Long Beach, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 15, 2012 to Nov 24, 2014 · Long Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

W••••••••• R••••••••• A••••••• to A••••••••• R•••••••••
left Jul 31, 2023, registered May 15, 2023 (-77 days) · Other · moved with a team
O••••••••• to W••••••••• R••••••••• A•••••••
left Jan 6, 2022, registered Dec 2, 2021 (-35 days) · Other · moved with a team
I••••••••• F•••••••• P••••••• to O•••••••••
left Dec 31, 2018, registered Dec 3, 2018 (-28 days) · Other · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• F•••••••• P•••••••
left Nov 24, 2014, registered Nov 21, 2014 (-3 days) · Other

Signals

C•••• K•••••• W••• left W••••••••• R••••••••• A••••••• for A••••••••• R••••••••• (registered 2023-05-15)
Jul 31, 2023 · Advisor changed firm · fact
C•••• K•••••• W••• left Onedigital for W••••••••• R••••••••• A••••••• (registered 2021-12-02)
Jan 6, 2022 · 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: Independent wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address