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

W••• K• L••••

S•••••• P••••••• I••••••••• A•••••••• L••BD affiliatedSarasota, Fl dual registrantIAPD 7412943

Feed of 09/15/2026

Also filed as W••• K• L••••

At current firm

0 y

since Jun 15, 2026

In the industry

10 y

since Jul 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•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
since Jun 15, 2026 · Stamford, Ct
U•• F•••••••• S••••••• I••• wirehouse
Jun 11, 2024 to Jun 16, 2026 · Sarasota, Fl
M••••• S•••••• wirehouse
Oct 19, 2023 to Feb 13, 2024 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to S•••••• P••••••• I••••••••• A•••••••• L••
left Jun 16, 2026, registered Jun 15, 2026 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• to U•• F•••••••• S••••••• I•••
left Feb 13, 2024, registered Jun 11, 2024 (119 days) · Wirehouse to wirehouse

Signals

W••• K• L•••• left U•• F•••••••• S••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2026-06-15)
Jun 16, 2026 · Advisor changed firm · fact
W••• K• L•••• left M••••• S•••••• for U•• F•••••••• S••••••• I••• (registered 2024-06-11)
Feb 13, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address