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••• A••••• F••••

S••••• W••••• M•••••••••independent RIAGuilford, Ct IA-onlyIAPD 6924764

Certified Financial Planner

Feed of 09/15/2026

Also filed as K••• A••••• F••••

At current firm

0 y

since Apr 17, 2026

In the industry

10 y

since Sep 1, 2016 (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

S••••• W••••• M••••••••• independent RIA current
since Apr 17, 2026 · Rockford, Il
E••••••• W••••• A••••••• former
Mar 20, 2025 to Apr 30, 2026 · Guilford, Ct
F••••••• P••••••• A•• W•••••••• A••••••• former
Nov 10, 2022 to Jan 30, 2025 · New Haven, Ct
L•• F•••••••• L•• BD affiliated
Jun 1, 2020 to Sep 6, 2022 · Bridgeport, Ct
E••••• J•••• national BD
Jun 4, 2018 to Nov 25, 2019 · Tempe, Az

Moves

a registration end followed by a registration begin elsewhere

E••••••• W••••• A••••••• to S••••• W••••• M•••••••••
left Apr 30, 2026, registered Apr 17, 2026 (-13 days) · corporate re-registration, not a move
F••••••• P••••••• A•• W•••••••• A••••••• to E••••••• W••••• A•••••••
left Jan 30, 2025, registered Mar 20, 2025 (49 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Sep 6, 2022, registered Nov 10, 2022 (65 days) · RIA to affiliated broker-dealer or bank
E••••• J•••• to L•• F•••••••• L••
left Nov 25, 2019, registered Jun 1, 2020 (189 days) · Affiliated broker-dealer or bank to another

Signals

K••• A••••• F•••• left F••••••• P••••••• A•• W•••••••• A••••••• for E••••••• W••••• A••••••• (registered 2025-03-20)
Jan 30, 2025 · Advisor changed firm · fact
K••• A••••• F•••• left L•• F•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-11-10)
Sep 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address