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••• C••••• W•••••

E•••••• F•••••••• E••••••independent RIAPhoenix, AzIA-onlyIAPD 6551104

Feed of 09/14/2026

At current firm

1 y

since Mar 14, 2025

In the industry

11 y

since Aug 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••• F•••••••• E•••••• independent RIA current
since Mar 14, 2025 · Phoenix, Az
A• W••••• M••••••••• L•• BD affiliated
Aug 7, 2024 to Feb 26, 2025 · Sun City, Az
E•••••• F•••••••• E•••••• independent RIA
Jan 25, 2021 to Jul 30, 2024 · Phoenix, Az
K••••• A••••••• S•••••••• L•• BD affiliated
Jun 6, 2019 to Dec 19, 2020 · Vancouver, Wa
F•••••••• A••••••• S•••••••• L•• former
Feb 2, 2018 to Jun 7, 2019 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

A• W••••• M••••••••• L•• to E•••••• F•••••••• E••••••
left Feb 26, 2025, registered Mar 14, 2025 (16 days) · RIA to RIA
E•••••• F•••••••• E•••••• to A• W••••• M••••••••• L••
left Jul 30, 2024, registered Aug 7, 2024 (8 days) · RIA to RIA
K••••• A••••••• S•••••••• L•• to E•••••• F•••••••• E••••••
left Dec 19, 2020, registered Jan 25, 2021 (37 days) · Affiliated broker-dealer or bank to independent RIA
F•••••••• A••••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
left Jun 7, 2019, registered Jun 6, 2019 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team

Signals

K••• C••••• W••••• left A• W••••• M••••••••• L•• for E•••••• F•••••••• E•••••• (registered 2025-03-14)
Feb 26, 2025 · Advisor changed firm · fact
K••• C••••• W••••• left E•••••• F•••••••• E•••••• for A• W••••• M••••••••• L•• (registered 2024-08-07)
Jul 30, 2024 · 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