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

R•••• K•••••••• W••••••

T••••••• I••••••••• M••••••••• I•••BD affiliatedCedarburg, Wi dual registrantIAPD 6409772

Feed of 09/15/2026

Also filed as Ravin Walters

At current firm

2 y

since Sep 28, 2023

In the industry

11 y

since Feb 9, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T••••••• I••••••••• M••••••••• I••• BD affiliated current
since Sep 28, 2023 · Santa Monica, Ca
C•• A•••••••• L•• independent RIA
Mar 1, 2023 to Sep 18, 2023 · Manhattan, Ks
S•••••••• I••••••••• A•••••••• L•• independent RIA
Oct 26, 2020 to Feb 10, 2023 · Los Angeles, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 3, 2017 to Jun 11, 2020 · Wethersfield, Ct
C•••••• S••••• • C••• I••• national BD
Sep 30, 2015 to Dec 9, 2016 · West Hartford, Ct
M•• F•••••••• S•••••••• I••• former
Apr 9, 2015 to Aug 21, 2015 · West Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

C•• A•••••••• L•• to T••••••• I••••••••• M••••••••• I•••
left Sep 18, 2023, registered Sep 28, 2023 (10 days) · RIA to affiliated broker-dealer or bank
S•••••••• I••••••••• A•••••••• L•• to C•• A•••••••• L••
left Feb 10, 2023, registered Mar 1, 2023 (19 days) · RIA to RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• I••••••••• A•••••••• L••
left Jun 11, 2020, registered Oct 26, 2020 (137 days) · Wirehouse to independent RIA
C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 9, 2016, registered Jan 3, 2017 (25 days) · Affiliated broker-dealer or bank to wirehouse
M•• F•••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••
left Aug 21, 2015, registered Sep 30, 2015 (40 days) · Other

Signals

R•••• K•••••••• W•••••• left C•• A•••••••• L•• for T••••••• I••••••••• M••••••••• I••• (registered 2023-09-28)
Sep 18, 2023 · Advisor changed firm · fact
R•••• K•••••••• W•••••• left S•••••••• I••••••••• A•••••••• L•• for C•• A•••••••• L•• (registered 2023-03-01)
Feb 10, 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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address