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.

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Registered advisor

W•••••• E••••• S••••••

R•• C•••••• M••••••• L••national BDFort Worth, Tx dual registrantIAPD 1509949

Feed of 09/15/2026

Also filed as Bill S••••••

At current firm

8 y

since Oct 10, 2017

In the industry

40 y

since Jul 22, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•• C•••••• M••••••• L•• national BD current
since Oct 10, 2017 · Fort Worth, Tx
H•••••• S••••••••• I••• BD affiliated
Dec 19, 2008 to Nov 1, 2017 · Dallas, Tx
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Jan 6, 2009 · Dallas, Tx
M••••• S•••••• D• I••• unclassified
Feb 23, 2005 to Apr 2, 2007 · Dallas, Tx
U•• F•••••••• S••••••• I••• wirehouse
Jan 5, 1996 to Mar 11, 2005 · Addison, Tx

Moves

a registration end followed by a registration begin elsewhere

H•••••• S••••••••• I••• to R•• C•••••• M••••••• L••
left Nov 1, 2017, registered Oct 10, 2017 (-22 days) · Other
M••••• S•••••• • C•• L•• to H•••••• S••••••••• I•••
left Jan 6, 2009, registered Dec 19, 2008 (-18 days) · Other
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••
left Mar 11, 2005, registered Feb 23, 2005 (-16 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: National broker-dealer RIAderived
Years in industry: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address