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•••••• S•••••• S••••••

W•••••• A•••••••• L••independent RIABirmingham, AlIA-onlyIAPD 6064634

Feed of 09/14/2026

Also filed as K•••••• Delores S••••••

At current firm

1 y

since Dec 9, 2024

In the industry

11 y

since Jun 1, 2015 (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•••••• A•••••••• L•• independent RIA current
since Dec 9, 2024 · Birmingham, Al
H•••••••• A•••••••• L•• BD affiliated
Jul 11, 2024 to Nov 19, 2024 · Chicago, Il
R•••••• J•••• • A••••••••• I••• national BD
Sep 27, 2023 to Jul 8, 2024 · Midland City, Al
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
May 31, 2019 to Sep 28, 2023 · Huntersville, Nc

Moves

a registration end followed by a registration begin elsewhere

H•••••••• A•••••••• L•• to W•••••• A•••••••• L••
left Nov 19, 2024, registered Dec 9, 2024 (20 days) · Affiliated broker-dealer or bank to independent RIA
R•••••• J•••• • A••••••••• I••• to H•••••••• A•••••••• L••
left Jul 8, 2024, registered Jul 11, 2024 (3 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••
left Sep 28, 2023, registered Sep 27, 2023 (-1 days) · Affiliated broker-dealer or bank to another

Signals

K•••••• S•••••• S•••••• left H•••••••• A•••••••• L•• for W•••••• A•••••••• L•• (registered 2024-12-09)
Nov 19, 2024 · Advisor changed firm · fact
K•••••• S•••••• S•••••• left R•••••• J•••• • A••••••••• I••• for H•••••••• A•••••••• L•• (registered 2024-07-11)
Jul 8, 2024 · Advisor changed firm · fact
K•••••• S•••••• S•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for R•••••• J•••• • A••••••••• I••• (registered 2023-09-27)
Sep 28, 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: Independent wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address