DFX Intelligence
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Registered advisor
K•••• W•••• P•••••
Feed of 09/14/2026
At current firm
14 y
since Feb 24, 2012
In the industry
45 y
since Jun 4, 1981 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• I••••••••• M••••••••• independent RIA currentsince Feb 24, 2012 · Midland, Tx
- C•••••• I••••••••• M••••••••• independent RIAApr 28, 2006 to Jun 22, 2007 · Midland, Tx
- N••• F•••••••• G••••• I••• formerAug 10, 2005 to Apr 7, 2006 · Midland, Tx
- U••••• S••••••••• A•••••••• I••• unclassifiedMar 17, 2004 to Aug 9, 2005 · Midland, Tx
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedSep 19, 2003 to Feb 26, 2004 · Midland, Tx
- T•• A••••••• G••••• I••• unclassifiedApr 23, 2002 to Jul 10, 2003 · Midland, Tx
Moves
a registration end followed by a registration begin elsewhere
- N••• F•••••••• G••••• I••• to C•••••• I••••••••• M•••••••••left Apr 7, 2006, registered Apr 28, 2006 (21 days) · Other
- U••••• S••••••••• A•••••••• I••• to N••• F•••••••• G••••• I•••left Aug 9, 2005, registered Aug 10, 2005 (1 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to U••••• S••••••••• A•••••••• I•••left Feb 26, 2004, registered Mar 17, 2004 (20 days) · Other
- T•• A••••••• G••••• I••• to A••••••• G•••••• S••••••••• I•••••••••left Jul 10, 2003, registered Sep 19, 2003 (71 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
- Independent wealth managerderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address