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

R••••• W•••• M•••••

C••••• I••••••••• A••••••• L••BD affiliatedSt. Simons Island, Gadual registrantIAPD 1559029

Feed of 09/14/2026

Also filed as R••••• W M•••••

At current firm

1 y

since Nov 13, 2024

In the industry

39 y

since Nov 24, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Nov 13, 2024 · St. Simons Island, Ga
I•• A•••••••• L•• independent RIA
Apr 11, 2017 to Nov 14, 2024 · St. Simons Island, Ga
T••••• A••••••• S•••••••• I••• BD affiliated
Sep 20, 2016 to Apr 10, 2017 · St. Simons, Ga
S••••••• I••••••••• S•••••••• I••• former
Mar 31, 2014 to Dec 31, 2016 · Saint Simons Island, Ga
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
May 6, 2009 to Mar 31, 2014 · St. Simons Lsland, Ga
F•••• L••••• S••••••••• L•• unclassified
Aug 30, 2007 to Jan 29, 2009 · St. Simons Island, Ga
C••• F•••••••• A••••••• former
Jan 29, 2007 to Aug 24, 2007 · St. Simons Island, Ga
J••••• M••••••••• S•••• L•• BD affiliated
Dec 14, 2005 to Jan 30, 2007 · Atlanta, Ga
S••••• A••• A•••• M••••••••• I••• former
Mar 15, 2005 to Dec 19, 2005 · Birmingham, Al
M••••• K••••• • C••••••• L•• former
Jan 22, 2003 to Jun 20, 2003 · Albany, Ga

Moves

a registration end followed by a registration begin elsewhere

I•• A•••••••• L•• to C••••• I••••••••• A••••••• L••
left Nov 14, 2024, registered Nov 13, 2024 (-1 days) · RIA to affiliated broker-dealer or bank
T••••• A••••••• S•••••••• I••• to I•• A•••••••• L••
left Apr 10, 2017, registered Apr 11, 2017 (1 days) · Other
S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••
left Dec 31, 2016, registered Sep 20, 2016 (-102 days) · corporate re-registration, not a move
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••••• I••••••••• S•••••••• I•••
left Mar 31, 2014, registered Mar 31, 2014 (0 days) · Other
F•••• L••••• S••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jan 29, 2009, registered May 6, 2009 (97 days) · Other
C••• F•••••••• A••••••• to F•••• L••••• S••••••••• L••
left Aug 24, 2007, registered Aug 30, 2007 (6 days) · Other
J••••• M••••••••• S•••• L•• to C••• F•••••••• A•••••••
left Jan 30, 2007, registered Jan 29, 2007 (-1 days) · Other
S••••• A••• A•••• M••••••••• I••• to J••••• M••••••••• S•••• L••
left Dec 19, 2005, registered Dec 14, 2005 (-5 days) · Other
M••••• K••••• • C••••••• L•• to S••••• A••• A•••• M••••••••• I•••
left Jun 20, 2003, registered Mar 15, 2005 (634 days) · Other

Signals

R••••• W•••• M••••• left I•• A•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-11-13)
Nov 14, 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: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address