DFX Intelligence
RIA Intelligence
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Registered advisor
R••••• W•••••• K•••
Feed of 09/14/2026
At current firm
3 y
since Aug 29, 2023
In the industry
45 y
since Apr 15, 1981 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A•••• M••••••••• I••• state registered currentsince Aug 29, 2023 · Warwick, Ri
- G••••• E••••• A•••••••• L•• unclassifiedApr 26, 2006 to Dec 31, 2009 · East Greenwich, Ri
- A•••••• I••• unclassifiedDec 3, 2002 to Oct 24, 2005 · Providence, Ri
- M••••• S•••••• D• I••• unclassifiedSep 4, 2001 to Nov 21, 2002 · Providence , Ri
Moves
a registration end followed by a registration begin elsewhere
- G••••• E••••• A•••••••• L•• to S•••••••• A•••• M••••••••• I•••left Dec 31, 2009, registered Aug 29, 2023 (4989 days) · Other
- A•••••• I••• to G••••• E••••• A•••••••• L••left Oct 24, 2005, registered Apr 26, 2006 (184 days) · Other
- M••••• S•••••• D• I••• to A•••••• I•••left Nov 21, 2002, registered Dec 3, 2002 (12 days) · Other
Signals
No dated event on this person.
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
- STATE REGISTEREDderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address