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

D••••• K•••• W••••

U••• B•••••• A•••••••• L••BD affiliatedSimi Valley, Cadual registrantIAPD 6163540

Feed of 09/14/2026

Also filed as D••••• K•••• W••••

At current firm

0 y

since Feb 13, 2026

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

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Simi Valley, Ca
U••• B•••••• I••••••••• I••• former
Jul 26, 2024 to Feb 13, 2026 · Simi Valley, Ca
L•• F•••••••• L•• BD affiliated
Jul 19, 2023 to Aug 9, 2024 · Sherman Oaks, Ca
B••••••• I••••••••• S•••••••• I••• ••••• former
Aug 24, 2022 to Jul 19, 2023 · Tempe, Az
W•••• F•••• A••••••• wirehouse
Nov 30, 2020 to Aug 18, 2022 · Malibu, Ca

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••
left Aug 9, 2024, registered Jul 26, 2024 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••
left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••
left Aug 18, 2022, registered Aug 24, 2022 (6 days) · Wirehouse to affiliated broker-dealer or bank

Signals

D••••• K•••• W•••• left L•• F•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2024-07-26)
Aug 9, 2024 · Advisor changed firm · fact
D••••• K•••• W•••• left W•••• F•••• A••••••• for B••••••• I••••••••• S•••••••• I••• ••••• (registered 2022-08-24)
Aug 18, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address