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.
Registered advisor
Werner Maiwald
Feed of 09/15/2026
At current firm
5 y
since May 19, 2021
In the industry
38 y
since Jun 30, 1988 (earliest exam, job or registration)
Prior registered firms
3
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
- Supreme Alliance LLC independent RIA currentsince May 19, 2021 · Charlotte, Nc
- Voya Financial Advisors, Inc. BD affiliatedNov 12, 2015 to Sep 1, 2020 · Danvers, Ma
- Investors Capital Advisory formerMar 10, 2006 to Nov 11, 2015 · Danvers, Ma
- Cetera Investment Services LLC formerMar 28, 2002 to Apr 21, 2004 · Springfield, Ma
Moves
a registration end followed by a registration begin elsewhere
- Voya Financial Advisors, Inc. to Supreme Alliance LLCleft Sep 1, 2020, registered May 19, 2021 (260 days) · Affiliated broker-dealer or bank to independent RIA
- Investors Capital Advisory to Voya Financial Advisors, Inc.left Nov 11, 2015, registered Nov 12, 2015 (1 days) · Other · moved with a team
- Cetera Investment Services LLC to Investors Capital Advisoryleft Apr 21, 2004, registered Mar 10, 2006 (688 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address